Philip E. Sachs
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Philip Edwin Sachs, who also goes by Pete Sachs, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1982. Philip had worked at 6 firms and has passed the Series 63, Series 31 and Series 18 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2021 - November 11, 2021
SUNLIGHT PEAKS FINANCIAL PARTNERS, LLC
July 8, 2011 - April 27, 2021
WMS PARTNERS, LLC
June 1, 2009 - June 20, 2011
MORGAN STANLEY
June 1, 2009 - June 20, 2011
MORGAN STANLEY
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 13, 1991 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
November 3, 1987 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
July 27, 1982 - October 30, 1987
LEGG MASON WOOD WALKER, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 18
Date: 9/20/1982
Securities Industry Rules and Regulations ExaminationCurrent Firm
SUNLIGHT PEAKS FINANCIAL PARTNERS, LLC
CRD#: 315251 / SEC#: 801-121694
Contact information
Red Flags
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