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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

JAMES KNOX PATRICK

Advisor at PKS ADVISORY SERVICES, LLC

ALBANY, NY

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Search this name across graphsid dfx:ria:4a5e7ed8-52b7-e6f8-d665-c3672b40aab0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 28, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PKS ADVISORY SERVICES, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 13, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: May 13, 1999
First registration: Oct 28, 1999
Dual registered: yes, broker-dealer
Other names: JAMES KNOX PATRICK|JAMES KNOX PATRICK III
IAPD individual key: 1288261

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PKS ADVISORY SERVICES, LLC	Independent wealth	Apr 8, 2021	n/a	yes	ALBANY, NY	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Aug 31, 2009	no	Latham, NY	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Apr 18, 2005	Jun 1, 2009	no	NISKAYUNA, NY\|NISKAYUNA, NY	Previous registration
THOMPSON SIEGEL & WALMSLEY LLC	Asset manager	Oct 28, 1999	Dec 31, 2002	no	RICHMOND, VA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	PKS ADVISORY SERVICES, LLC	Aug 31, 2009	Apr 8, 2021	4,238	Firm change after gap	Wirehouse to RIA
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
THOMPSON SIEGEL & WALMSLEY LLC	CITIGROUP GLOBAL MARKETS INC.	Dec 31, 2002	Apr 18, 2005	839	Firm change after gap	Other

Relationships

Registered with (4)

→ PKS ADVISORY SERVICES, LLCRegistered adviserregistration: current employment
Apr 8, 2021 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Aug 31, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Apr 18, 2005 to Jun 1, 2009factForm ADV
→ THOMPSON SIEGEL & WALMSLEY LLCRegistered adviserregistration: previous registration
Oct 28, 1999 to Dec 31, 2002factForm ADV

Dated events

No dated event names this entity yet.