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Grace Sun Smith

Investment Adviser Representative at PKS ADVISORY SERVICES, LLC

Albany, NYCRD #7446841Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
4 yrs
States Registered
21 states
Exams Passed
7

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Grace Sun Smith has worked in the securities industry since 2022. They are registered to provide investment advisory services in 21 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 21 states
CaliforniaConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaMarylandMassachusettsMissouriNevadaNew YorkNorth CarolinaOhioPennsylvaniaSouth CarolinaTexasUtahVirginiaWashingtonWest VirginiaWisconsin
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 2/16/2024
Series 63
Uniform Securities Agent State Law Examination
Passed 9/23/2022
Series 52
Municipal Securities Representative Examination
Passed 12/23/2024
Series 7
General Securities Representative Examination
Passed 9/8/2022
SIE
Securities Industry Essentials Examination
Passed 7/12/2022
Series 53
Municipal Securities Principal Examination
Passed 1/30/2025
Series 24
General Securities Principal Examination
Passed 5/12/2023

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

PKS Advisory Services, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

PKS ADVISORY SERVICES, LLCCurrent
2/20/2024Albany, NY

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Grace Sun Smith has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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Grace Sun Smith - Financial Advisor in Albany, NY | AdvisorFinder