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Keith Owen Flood

Investment Adviser Representative at PKS ADVISORY SERVICES, LLC

Albany, NYCRD #2001256Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
37 yrs
States Registered
32 states
Exams Passed
6

Professional summary

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

Keith Owen Flood has worked in the securities industry since 1989. They are registered to provide investment advisory services in 32 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 32 states
AlabamaArkansasCaliforniaColoradoConnecticutFloridaGeorgiaIllinoisIndianaKansasKentuckyMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaTexasVirginia
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 4/24/2007
Series 63
Uniform Securities Agent State Law Examination
Passed 12/2/1989
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 12/18/1989
Series 7
General Securities Representative Examination
Passed 11/18/1989
Series 24
General Securities Principal Examination
Passed 7/13/2005

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
5/29/2007Albany, NY
PURSHE KAPLAN STERLING INVESTMENTSCurrent
3/12/1997Schenectady, NY
PRUDENTIAL SECURITIES INCORPORATED
11/15/19933/20/1997New York, NY
SMITH BARNEY SHEARSON INC.
7/31/199312/14/1993New York, NY
LEHMAN BROTHERS INC.
11/22/19897/31/1993New York, 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. Keith Owen Flood 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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