Articles Tagged with Purshe Kaplan Sterling

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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.

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Jason TinklenbergPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 27, 2017 indicate that South Dakota-based Purshe Kaplan Sterling broker/adviser Jason Tinklenberg has been named pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Tinklenberg (CRD# 4583992).

Jason Tinklenberg has spent 15 years in the securities industry and has been registered with Purshe Kaplan Sterling Investments in Sioux Falls, South Dakota since March 2016. Previous registrations include National Planning Corporation in Sioux Falls, South Dakota (2007-2016) and American General Securities in Sioux Falls, South Dakota (2002-2007). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is a registered broker and investment adviser with seven US states and territories: California, Connecticut, Illinois, Iowa, Minnesota, Montana and South Dakota.

According to his BrokerCheck report, he has received two pending customer complaints.

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Donald Goerner

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 27, 2017 indicate that Texas-based Purshe Kaplan Sterling broker/adviser Donald Goerner has been named a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Goerner (CRD# 4649381).

Donald Goerner has spent 14 years in the securities industry and has been registered with Purshe Kaplan Sterling Investments in Addison, Texas since 2008. He was previously registered with MML Investors Services in Addison, Texas (2003-2008). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with six US states and territories: California, Florida, Colorado, Illinois, New Mexico, and Texas.

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

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Brendan Shaw

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 22, 2017 indicate that former Arizona-based Purshe Kaplan Sterling Investments broker/adviser Brendan Shaw has been named in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Shaw (CRD# 4721215).

Brendan Shaw has spent twelve years in the securities industry and was most recently registered with Purshe Kaplan Sterling Investments in Scottsdale, Arizona (2012-2016). Previous registrations include Mutual Securities in Scottsdale, Arizona (2005-2012) and UBS Financial Services in Weehawken, New Jersey (2003-2006). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one pending customer complaint and was terminated from one former employer.