Philip K. Works
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 Kristian Works, who also goes by Philip K Works, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1983. Philip had worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 1997 - March 19, 2015
GOLDMAN SACHS WEALTH SERVICES, L.P.
December 9, 1994 - January 15, 2015
MERCER ALLIED COMPANY, L.P.
January 22, 1994 - December 9, 1994
MERCER ALLIED CORPORATION
September 21, 1988 - January 11, 1994
NATIONWIDE SECURITIES, LLC
July 28, 1988 - November 26, 1988
CAPITAL GROWTH & SHELTER,INC.
July 17, 1983 - June 1, 1988
NATIONWIDE SECURITIES, LLC
Primary Firm SEC Registration
GOLDMAN SACHS WEALTH SERVICES, L.P.
CRD#: 106693 / SEC#: 801-48238
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
Current Firm
GOLDMAN SACHS WEALTH SERVICES, L.P.
CRD#: 106693 / SEC#: 801-48238
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 33,477 |
| AUM (Assets Under Management) | $ 25,958,285,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 09/25/2024 | ||
| 11/17/2023 | ||
| 01/26/2023 |
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.
