Adviser and broker representative · Pks Advisory Services, LLC
James K. Patrick III
CRD 1288261 · Albany, NY
At a glance
James K. Patrick III is an investment adviser representative with Pks Advisory Services, LLC in Albany, NY, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on James’s SEC record dates to 1999, about 26 years ago. James is also registered as a broker representative.
Current advisory firm
- Pks Advisory Services, LLCSince April 2021Albany, NY · $1.1B in regulatory assets
SEC adviser record
- Registered since
- 1999 (26 years)
- Designations
- None on file
- Exams
- Series 63, Series 65
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
James’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 3 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
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Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.