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SD

Sara Jane Davis-bettge

Some features on this profile are disabled
CRD#: 1191912
SD

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.

Sara Jane Davis-bettge, CFP®, who also goes by Sara Jane Bettge, Sara Jane Philippi Davis, Sara Jane Davis, Sara Jane Philippi Davis-bettge, Sara Jane Philippi, was a registered financial professional .

Sara Jane is a previously registered financial professional and started their career in finance in 1983. Sara Jane had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sara Jane Bettge | Sara Jane Philippi Davis | Sara Jane Davis | Sara Jane Philippi Davis-Bettge | Sara Jane Philippi

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.
1) Fixed Insurance. Investment Related. At registered location. Fixed/traditional insurance. Agent. 1/2024. 2 hrs/month all during trading hours. Provide insurance advice based on the needs of clients. 2) PKSF. Investment Related. At registered location. Fixed/traditional insurance. Agent. 1/2024. 2 hrs/month all during trading hours. Provide insurance advice based on the needs of clients. 3) LAS SIMPATICAS OF NATIONAL CHARITY LEAGUE -TREASURER NO SECURITIES OR INVESTMENT ADVICE GIVEN; Not investment related. 353 W 6th San Pedro CA 90731. Non-Profit. 1/1/1982. 2 hrs/month with 0 during trading hrs. Acts as treasurer for non-profit. 4) NAME OF OTHER BUSINESS: CLG, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE START DATE: 03/2018 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND ASSET MANAGEMENT

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

Certified Financial Planner

Start date: 1988

Experience

Past

January 4, 2024 - October 2, 2024

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Long Beach, CA
Past

June 29, 2023 - December 31, 2023

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
LONG BEACH, CA
Past

February 27, 2018 - December 19, 2024

CLG LLC

RIA
CRD#: 282605
LONG BEACH, CA
Past

January 21, 1998 - December 31, 2023

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
LONG BEACH, CA
Past

July 8, 1997 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
LONG BEACH, CA
Past

November 22, 1983 - December 31, 1997

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/19/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1983
General Securities Representative Examination

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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.

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

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