Kathleen R. 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.
Kathleen Robinson Sachs, who also goes by Kathleen T Robinson, Kathy Robinson, Kathy Sachs, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1987. Kathleen had worked at 5 firms and has passed the Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 1995 - December 31, 1995
COMPASS SECURITIES CORPORATION
April 14, 1994 - December 31, 2017
SACHS FINANCIAL PLANNING
September 28, 1992 - December 31, 1994
COMMONWEALTH FINANCIAL NETWORK
December 4, 1989 - October 1, 1992
GUARDIAN INVESTOR SERVICES LLC
February 19, 1987 - December 31, 1989
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
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Exams
Current Firm
COMPASS SECURITIES CORPORATION
CRD#: 16168 / SEC#: , 8-33438
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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