Steven James, financial advisor Salisbury MD
93 score

Steven James

CRD Number: 5921639
Current Firm: Pks Investment Advisors LLC

Steven James (CRD# 5921639) is an Investment Advisor Representative working at Pks Investment Advisors LLC in Salisbury, MD and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Pks Investment Advisor LLC Salisbury, MD Jan 2017 - Current 1
T. Rowe Price Baltimore, MD Apr 2012 - Nov 2016 4
Turf Valley Resort Ellicott City, MD Jun 2004 - May 2012 7
Pine Orchard Liquors Ellicott City, MD Feb 2012 - Mar 2012 < 1
Northwestern Mutual Life Insurance Company Milwaukee, WI Jun 2011 - Dec 2011 < 1
Dough Roller Ocean City, MD May 2009 - May 2011 2
Salisbury Unviversity Salisbury, MD Aug 2007 - May 2011 3
Salisbury University Dining Services Salisbury, MD Mar 2009 - May 2010 1
Planet Fitness Baltimore, MD Dec 2008 - Jan 2009 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 2012
S66 NASAA Uniform Combined State Law Examination Aug 2013
Contact Info for Steven M. James
Phone Number: 410-546-5600
Registered State(s):
  • DE
  • MD
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States


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Clean Record
This advisor has a clean track record with regulators.

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