Ismael L. Sanchez
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.
Ismael Lee Sanchez, who also goes by Ismael L Sanchez, Ismael Sanchez, was a registered financial professional .
Ismael is a previously registered financial professional and started their career in finance in 1997. Ismael had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24, Series 53, Series 27 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2014 - January 29, 2026
MCGOWAN GROUP ASSET MANAGEMENT, INC.
May 30, 2014 - December 31, 2014
SPIRE SECURITIES, LLC
January 17, 2014 - June 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 17, 2014 - June 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 29, 2011 - June 25, 2013
WFG ADVISORS, LP
August 29, 2011 - June 25, 2013
WFG INVESTMENTS, INC.
June 29, 2007 - August 23, 2011
1ST GLOBAL ADVISORS INC
June 26, 2007 - August 23, 2011
1ST GLOBAL CAPITAL CORP.
January 19, 2005 - June 12, 2007
AVANTAX ADVISORY SERVICES
October 27, 2004 - June 12, 2007
AVANTAX INVESTMENT SERVICES, INC.
January 28, 2003 - October 20, 2004
PRESIDIO FINANCIAL SERVICES, INC.
July 8, 1999 - February 7, 2003
CITIGROUP GLOBAL MARKETS INC.
July 7, 1999 - February 7, 2003
CITIGROUP GLOBAL MARKETS INC.
October 24, 1997 - May 22, 1999
CITICORP INVESTMENT SERVICES
Primary Firm SEC Registration
MCGOWAN GROUP ASSET MANAGEMENT, INC.
CRD#: 154127 / SEC#: 801-71582
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
MCGOWAN GROUP ASSET MANAGEMENT, INC.
CRD#: 154127 / SEC#: 801-71582
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,050 |
| AUM (Assets Under Management) | $ 996,742,756 |
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.
