Articles Tagged with Mark Sachse

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Mark Sachse

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 8, 2018 indicate that Oklahoma-based Purshe Kaplan Sterling broker/adviser Mark Sachse has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sachse (CRD# 2198070).

Mark Sachse has spent 20 years in the securities industry and has been registered with Purshe Kaplan Sterling Investments in Oklahoma City, Oklahoma since October 2017. Previous registrations include Wunderlich Securities in Dallas, Texas (2012-2017); Southwest Securities in Dallas, Texas (2002-2012); RBC Dain Rauscher in New York, New York (1998-2002); Dain Rauscher (1998); and Rauscher Pierce Refsnes in Dallas, Texas (1997-1998). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 5, 1997; Series 7 (General Securities Representative Examination), which he obtained on July 16, 1997; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on May 29, 2003; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on. He is a registered broker with eight US states: Alabama, Arkansas, Georgia, Illinois, Kansas, Oklahoma, Tennessee, and Texas.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one denied customer complaint.