Articles Tagged with Mark Sachse

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Mark SachsePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 20, 2018 indicate that former Kansas-based Ameriprise Financial Services broker/adviser Mark Sachse, who has received a pending customer dispute, was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sachse (CRD# 5155260).

Mark Sachse has spent eleven years in the securities industry and was most recently registered with Ameriprise Financial Services in Overland Park, Kansas (2010-2018). He was previously registered with Robert W. Baird & Company in Kansas City, Missouri (2006-2010). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on August 25, 2008, and Series 7 (General Securities Representative Examination), which he obtained on July 28, 2006. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one pending customer complaint and one unsatisfied tax lien, and he was discharged from his former employer in connection to alleged rule violations.

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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.