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GS

Gary T. Sacks

NOBLE CAPITAL MARKETS
Westport, CT 06880
Some features on this profile are disabled
CRD#: 2657895
GS

Professional summary

Gary Tanfield Sacks is a registered financial professional currently at NOBLE CAPITAL MARKETS, INC. located in Westport, Connecticut.

Gary is registered as a RR (Registered Representative) and started their career in finance in 1995. Gary has worked at 6 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Gary Tanfield Sacks's CRS (Customer Relationship Summary).
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

July 4, 2021 - Present

NOBLE CAPITAL MARKETS, INC.

Office #1: 88 Post Road West 1st Floor, Westport, CT 06880
BD
CRD#: 15768
Westport, CT
Past

February 16, 2017 - July 2, 2021

AGES FINANCIAL SERVICES, LTD.

BD
CRD#: 15427
Scottsdale, AZ
Past

August 5, 2003 - April 24, 2017

SOURCE CAPITAL GROUP, INC.

BD
CRD#: 36719
SCOTTSDALE, AZ
Past

October 17, 2000 - August 5, 2003

PEACOCK, HISLOP, STALEY & GIVEN, INC.

BD
CRD#: 21477
PHOENIX, AZ
Past

June 1, 1999 - October 17, 2000

PARADISE VALLEY SECURITIES, INC.

BD
CRD#: 18501
PHOENIX, AZ
Past

March 9, 1996 - June 1, 1999

PUGLISI & CO.

BD
CRD#: 19451
NEW YORK, NY
Past

September 15, 1995 - December 1, 1995

PUGLISI & CO.

BD
CRD#: 19451
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(7/4/2021)
RR
California
(7/4/2021)
RR
Connecticut
(7/4/2021)
RR
Florida
(10/15/2024)
RR
Hawaii
(1/9/2024)
RR
Illinois
(10/16/2024)
RR
Nevada
(3/15/2023)
RR
New Jersey
(7/4/2021)
RR
New York
(7/4/2021)
RR
Texas
(2/3/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 9/29/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/14/1995
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NOBLE CAPITAL MARKETS, INC.
NOBLE CAPITAL MANAGEMENT INC | NOBLE LIFE SCIENCE PARTNERS | NOBLE INTERNATIONAL INVESTMENTS, INC. | NOBLE FINANCIAL CAPITAL MARKETS | NOBLE CAPITAL MARKETS, INC.

CRD#: 15768 / SEC#: , 8-32706

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

Main Address
150 East Palmetto Park Road Suite 110, Boca Raton, FL 33432
Mailing Address
150 East Palmetto Park Road Suite 110, Boca Raton, FL 33432
Phone number
(561) 994-1191
Established
Florida since 09/21/1984
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (53 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#
NOBLE FINANCIAL GROUP, INC.SHAREHOLDER
LEAN, DAVID JONATHANCCO3114377
PRONK, NICOLAAS PETRUSOWNER, CEO, CFO1726101

Disclosures

Regulatory Event9
Arbitration11

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

NOBLE CAPITAL MARKETS, INC.

CRD#: 15768Westport, CT 06880

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