Sandy R. Hatch
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.
Sandy Ray Hatch, CFP® was a registered financial professional .
Sandy is a previously registered financial professional and started their career in finance in 1991. Sandy had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 6 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
Start date: 2016
Experience
November 1, 2019 - June 26, 2020
TRAJAN WEALTH, L.L.C.
October 13, 2017 - October 23, 2019
J.P. MORGAN SECURITIES LLC
July 23, 2013 - December 1, 2014
THE MUTUAL FUND STORE
April 20, 2012 - July 18, 2013
TD AMERITRADE, INC.
April 20, 2012 - July 18, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 12, 2012 - July 18, 2013
TD AMERITRADE, INC.
April 18, 2011 - March 2, 2012
OPTIONSHOUSE1, LLC
May 25, 2010 - March 21, 2011
OPTIONSXPRESS, INC.
May 1, 2008 - June 5, 2008
BELLEVUE CHICAGO, LLC
August 19, 2003 - July 14, 2004
CETERA WEALTH SERVICES, LLC
July 20, 2001 - August 4, 2003
CUNA BROKERAGE SERVICES, INC.
December 24, 1997 - August 4, 2003
CUNA BROKERAGE SERVICES, INC.
October 14, 1997 - December 12, 1997
PRINCIPAL SECURITIES, INC.
July 8, 1991 - October 20, 1995
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
TRAJAN WEALTH, L.L.C.
CRD#: 158847 / SEC#: 801-100392
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
TRAJAN WEALTH, L.L.C.
CRD#: 158847 / SEC#: 801-100392
Contact information
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,595 |
| AUM (Assets Under Management) | $ 1,969,683,196 |
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.
