JP
JP

James Knox Patrick

31 Years of Experience
Broker
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningFinancial Planning & Coaching
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
45 advisors
Number of Clients
4,416 clients
Average Client Portfolio
$205K average
Assets Under Management
$905.4M

Fee Structure

Financial Planning:Included in AUM fee
Loading...

Location

80 State Street, Albany, NY, 12207

Get directions

History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Learn about disclosures →
Other Business Activities

James manages commercial real estate through 93 Broadway Inc, dedicating minimal time. He also provides advisory services as part of PKS Advisory Services, LLC, taking nearly full-time hours, and serves as a board member for the Country Club of Troy, spending minimal time.

Employment History
Current Registrations
Pks Advisory Services, LLC
March 2011 - Present · 14 yrs 11 mos
Purshe Kaplan Sterling InvestmentsBroker
August 2009 - Present · 16 yrs 6 mos
Previous Registrations
Morgan Stanley Smith Barney LLC
June 2009 - August 2009 · 2 mos
Morgan Stanley Smith BarneyBroker
June 2009 - August 2009 · 2 mos
Citigroup Global Markets INC.
April 2005 - June 2009 · 4 yrs 2 mos
Citigroup Global Markets INC.Broker
April 2005 - June 2009 · 4 yrs 2 mos
Thompson Siegel & Walmsley INC
October 1999 - December 2002 · 3 yrs 2 mos
John Hancock Distributors, INC.Broker
March 1996 - October 1997 · 1 yr 7 mos
John Hancock Mutual Life Insurance CompanyBroker
March 1996 - May 1997 · 1 yr 2 mos
Uslife Equity Sales CORP.Broker
April 1992 - March 1994 · 1 yr 11 mos
Hartford Equity Sales Company INC.Broker
March 1989 - July 1990 · 1 yr 4 mos
United Equity Securities CORP.Broker
September 1985 - May 1987 · 1 yr 8 mos
Polaris Securities CorporationBroker
July 1984 - May 1985 · 10 mos
State Registrations7 states
FLMANCNHNYPAVA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.