David Connors
David Connors is a registered investment advisor at Pks Advisory Services, LLC, based in Albany, NY, with 25 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Investment Management, and 2 more. Their firm serves 4,416 clients with $910M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
PKS Advisory Services provides investment management for an annual fee based on the value of your investments. The fee can be up to 2.75% and varies depending on the amount you invest, the type of services you need, and the experience of the advisor. This fee does not include brokerage commissions or other transaction costs.
Location
80 State Street, Albany, NY, 12207
Get directionsHistory
Regulatory History (1)
Customer Dispute
March 2021Other Business ActivitiesSells Insurance
David works as an advisor for PKS Advisory, dedicating full-time hours to this role. He also works as an insurance agent selling fixed insurance, spending a few hours per week on this activity, and serves in an advisory role on the board of directors and finance committee for the Pride Center of the Capital Region, spending minimal time.
Employment History
Current Registrations
Pks Advisory Services, LLC
Purshe Kaplan Sterling InvestmentsBroker
Previous Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Midamerica Financial Services, INC.Broker
Transamerica Capital, INC.Broker
Riversource Distributors, INC.Broker
Pioneer Institutional Asset Management, INC.
Pioneer Investment Management, INC.
Pioneer Funds Distributor, INC.Broker
John Hancock Advisers, LLC
Sovereign Asset Management Corporation
John Hancock Funds, LLCBroker
Signator Investors, INC.Broker
State Registrations12 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.