Ivan S. Sacks

KINGSLEY ADVISORS

Dallas, TX

Some features on this profile are disabled

CRD#: 1026487

Professional summary

Ivan Stephen Sacks is a registered financial advisor currently at KINGSLEY ADVISORS, LLC located in Dallas, Texas.

Ivan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Ivan has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ivan Stephen Sacks's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 26, 2017 - Present

KINGSLEY ADVISORS, LLC

RIA

CRD#: 217513

Dallas, TX

Past

October 5, 2017 - December 31, 2020

KINGSLEY ADVISORS, LLC

RIA

CRD#: 217513

Dallas, TX

Past

August 4, 2015 - June 19, 2017

KINGSLEY ADVISORS, LLC

RIA

CRD#: 217513

DALLAS, TX

Past

April 23, 2015 - September 27, 2017

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

DALLAS, TX

Past

January 28, 2005 - April 24, 2015

PROSPERA FINANCIAL SERVICES, INC.

RIA

CRD#: 10740

DALLAS, TX

Past

October 27, 2004 - April 24, 2015

PROSPERA FINANCIAL SERVICES, INC.

CRD#: 10740

DALLAS, TX

Past

March 26, 2002 - November 8, 2004

HODGES CAPITAL MANAGEMENT INC

RIA

CRD#: 110080

DALLAS, TX

Past

March 29, 2001 - October 28, 2004

FIRST DALLAS SECURITIES INCORPORATED

CRD#: 24549

DALLAS, TX

Past

September 4, 1992 - January 4, 1995

FIRST DALLAS SECURITIES INCORPORATED

CRD#: 24549

Past

August 29, 1990 - November 5, 1990

KIRSCHNER SECURITIES, INC.

CRD#: 27016

Past

July 6, 1990 - September 4, 1990

PRIVATE BROKERS CORPORATION

CRD#: 18314

Past

August 29, 1989 - June 6, 1990

PROSPERA FINANCIAL SERVICES, INC.

CRD#: 10740

Past

September 29, 1988 - September 6, 1989

MOMENTUM INDEPENDENT NETWORK INC.

CRD#: 17587

Past

December 12, 1985 - May 3, 1988

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

Past

November 22, 1985 - December 12, 1985

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

March 2, 1982 - August 15, 1985

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(2/9/2021)

IAR

Florida
(12/26/2017)

IAR

New Jersey
(1/19/2021)

IAR

Texas
(1/14/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/4/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/10/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/24/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/28/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/21/1989

General Securities Principal Examination

Current Firm

KINGSLEY ADVISORS, LLC

CRD#: 217513 / SEC#:

California

Registered Investment Advisory firm - (2/9/2021 Approved)

Florida

Registered Investment Advisory firm - (12/26/2017 Approved)

Maryland

Registered Investment Advisory firm - (12/31/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (1/19/2021 Approved)

New York

Registered Investment Advisory firm - (4/28/2017 Approved)

Texas

Registered Investment Advisory firm - (1/14/2021 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Dallas, TX

Mailing Address

Phone number

(214) 642-7424

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	171
AUM (Assets Under Management)	$ 42,885,154

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ivan S. Sacks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ivan Stephen Sacks's CRS (Customer Relationship Summary).

Certified licenses

Experience

KINGSLEY ADVISORS, LLC

KINGSLEY ADVISORS, LLC

B. RILEY WEALTH ADVISORS, INC.

PROSPERA FINANCIAL SERVICES, INC.

PROSPERA FINANCIAL SERVICES, INC.

HODGES CAPITAL MANAGEMENT INC

FIRST DALLAS SECURITIES INCORPORATED

FIRST DALLAS SECURITIES INCORPORATED

KIRSCHNER SECURITIES, INC.

PRIVATE BROKERS CORPORATION

PROSPERA FINANCIAL SERVICES, INC.

MOMENTUM INDEPENDENT NETWORK INC.

RAUSCHER PIERCE REFSNES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

RAUSCHER PIERCE REFSNES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/4/2001

Series 63

Date: 4/10/2001

SIE

Date: 4/24/2015

Series 7

Date: 3/28/2001

Series 24

Date: 7/21/1989

Current Firm

KINGSLEY ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KINGSLEY ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors