Robert David Agel | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Robert David Agel was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 31, 2007 - August 5, 2020

PKS ADVISORY SERVICES, LLC

RIA

CRD#: 125648

ALBANY, NY

Past

November 24, 2006 - August 10, 2020

PURSHE KAPLAN STERLING INVESTMENTS

BD

CRD#: 35747

ALBANY, NY

Past

October 4, 2006 - December 8, 2006

KEYBANC CAPITAL MARKETS INC.

RIA

CRD#: 566

ALBANY, NY

Past

June 1, 2001 - December 8, 2006

KEYBANC CAPITAL MARKETS INC.

BD

CRD#: 566

ALBANY, NY

Past

October 12, 1990 - June 5, 2001

LPL FINANCIAL LLC

BD

CRD#: 6413

FORT MILL, SC

Past

January 14, 1988 - October 15, 1990

NATHAN & LEWIS SECURITIES, INC.

BD

CRD#: 8503

NEW YORK, NY

Past

September 9, 1982 - October 16, 1990

WS GRIFFITH SECURITIES, INC.

BD

CRD#: 10410

HARTFORD, CT

Past

September 9, 1982 - October 16, 1990

HOME LIFE INSURANCE COMPANY

BD

CRD#: 4184

Past

March 30, 1981 - September 10, 1984

NATHAN & LEWIS SECURITIES, INC.

BD

CRD#: 8503

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PA

PKS ADVISORY SERVICES, LLC

CRD#: 125648 / SEC#: 801-62147

RIA

Registered Investment Advisory firm - (6/20/2003 Approved)

New York

Registered Investment Advisory firm - (6/20/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/23/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 11/5/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 12/15/1984

General Securities Representative Examination

General Industry/Product Exam

RR

Series 1

Date: 6/21/1977

Registered Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 6/4/1988

General Securities Principal Examination

Current Firm

PA

PKS ADVISORY SERVICES, LLC

CRD#: 125648 / SEC#: 801-62147

RIA

Registered Investment Advisory firm - (6/20/2003 Approved)

New York

Registered Investment Advisory firm - (6/20/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

80 State Street, Albany, NY 12207

Mailing Address

Phone number

(518) 426-5791

Established

Firm type

Fiscal year end

# of Employees

49

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	4,419
AUM (Assets Under Management)	$ 905,367,391

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Robert D. Agel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

KEYBANC CAPITAL MARKETS INC.

KEYBANC CAPITAL MARKETS INC.

LPL FINANCIAL LLC

NATHAN & LEWIS SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

HOME LIFE INSURANCE COMPANY

NATHAN & LEWIS SECURITIES, INC.

Primary Firm SEC Registration

PKS ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/23/2001

Series 63

Date: 11/5/1988

SIE

Date: 10/1/2018

Series 7

Date: 12/15/1984

Series 1

Date: 6/21/1977

Series 24

Date: 6/4/1988

Current Firm

PKS ADVISORY SERVICES, LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PKS ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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