Business Details
33 Years
experience
Trusted Financial Advisers in Albany, NY
Purshe Kaplan Sterling Investments (PKS) is a full-service broker/dealer and financial services firm headquartered in Albany, New York. Established in 1993 as a regional brokerage firm, PKS has grown to operate over 600 offices with more than 1,600 Registered Representatives nationwide. The firm is registered with the U.S. Securities and Exchange Commission and is a member of FINRA and the Municipal Securities Rulemaking Board. PKS clears trades through National Financial Services LLC, offering access to state-of-the-art products and technology. The company provides Registered Representatives with unrestricted access to major investment companies, variable annuity products, and top-tier professional money managers.PKS emphasizes flexibility by avoiding proprietary products, allowing representatives to tailor solutions to client needs. The firm maintains SIPC coverage and supplemental protection through Lloyds of London to safeguard client assets. PKS supports retirement planning, college savings, alternative investments, and insurance services. With a classic open architecture environment, PKS prioritizes client-focused investment choices. The companys infrastructure ensures compliance, transparency, and access to comprehensive financial tools.
Services
Mutual Funds
Annuities
College Savings
Alternative Investments
Retirement Planning
Insurance Services
Details
- Year established: 1993
Highlights and features
- We have over 30 years of experience in financial services since 1993.
- Our firm is SEC-registered and FINRA-member for regulatory compliance.
- We provide access to 150+ mutual fund companies and 50+ insurance carriers.
- We offer SIPC coverage and supplemental protection through Lloyds of London.
- Our open architecture model avoids proprietary products for unbiased advice.
Associations and certifications
- SEC
- FINRA
- Municipal Securities Rulemaking Board
- SIPC
Services
Mutual Funds
PKS provides access to thousands of mutual funds through direct agreements with 150+ fund companies and partnerships with National Financial Services. Registered Representatives can select from diverse options to meet client risk profiles and financial goals. The firms open architecture model ensures unbiased recommendations.
Retirement Planning
PKS supports retirement plan solutions with custodial services through National Financial Services. The firm offers tools and resources for building scalable retirement practices. Services include 401(k), IRA, and pension plan management tailored to individual and institutional needs.
Alternative Investments
PKS offers alternative investments from top-tier managers, including hedge funds, private equity, and real estate. These products provide diversification beyond traditional equities and fixed income. Access is available to qualified high-net-worth and institutional investors seeking risk-adjusted returns.
College Savings
PKS administers 529 college savings plans with tax-deferred growth for tuition and qualified expenses. The firm also offers UTMA/UGMA accounts for minors education. Services include investment options and tax guidance to optimize college funding strategies.
Insurance Services
PKS provides variable annuities and life insurance through 50+ agreements with major carriers. The firms insurance specialists assist with estate planning, income strategies, and risk mitigation. Products are integrated with investment solutions for comprehensive financial planning.
Questions
What services does PKS Investments offer?
PKS offers mutual funds, annuities, retirement planning, alternative investments, college savings plans, and insurance services through its network of Registered Representatives.
Is PKS Investments regulated?
Yes, PKS is SEC-registered and a member of FINRA and the Municipal Securities Rulemaking Board for regulatory compliance.
How are client assets protected at PKS?
Client assets are protected by SIPC coverage up to $500,000 and supplemental coverage through Lloyd’s of London for additional security.
Can I access alternative investments through PKS?
Yes, PKS provides alternative investments from top-tier managers for qualified high-net-worth and institutional investors seeking diversified portfolios.
Does PKS offer retirement planning tools?
Yes, PKS offers retirement planning resources, including 401(k), IRA, and pension plan management through its custodial partnerships.
What states does PKS serve?
PKS serves clients in all 50 states through its network of over 600 offices nationwide.
