PROFESSIONAL FINANCIAL STRATEGIES, INC of PITTSFORD, NY is an SEC-registered investment adviser (CRD 125580). Regulatory assets under management: $225.8M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pensions, Corporations.
| Name | Role | Location |
|---|---|---|
| Paul Byron Hill | CEO, PRESIDENT; CHIEF COMPLIANCE OFFICER | — |
| Kam-Lin Kok | VICE PRESIDENT | — |
| HILL PAUL BYRON | CEO; CEO, PRESIDENT; CHIEF COMPLIANCE OFFICER (+2 more) | — |
| KOK KAM-LIN | PRESIDENT; VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-04-18 | regulatory | THE SETTLED ORDER PROVIDES THAT PFS VIOLATED A PROVISION OF RULE 206(4)-1 OF THE INVESTMENT ADVISERS ACT IN CONNECTION WITH THE DISSEMINATION OF CERTAIN ADVERTISEMENTS CONTAINING THIRD-PARTY RANKINGS. THE FIRM DISSEMINATED CERTAIN MATERIAL ON ITS PUBLIC WEBSITE AND NEWSLETTERS CONTAINING ONE THIRD-P… | Final | $60K |