Sammie K. Gatti
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.
Sammie Kay Gatti, who also goes by Sammie K Gatti, was a registered financial professional .
Sammie is a previously registered financial professional and started their career in finance in 1995. Sammie had worked at 6 firms and has passed the Series 65, Series 63 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
June 24, 2010 - April 9, 2012
COMMERCE WEALTH ADVISERS, LLC
June 24, 2010 - April 9, 2012
DEWAAY FINANCIAL NETWORK, LLC
May 12, 2006 - May 14, 2010
SECURITIES AMERICA ADVISORS, INC.
April 16, 2004 - May 14, 2010
SECURITIES AMERICA, INC.
November 10, 1995 - April 19, 2004
LPL FINANCIAL LLC
November 10, 1995 - April 19, 2004
LPL FINANCIAL LLC
October 9, 1995 - November 21, 1995
SUNPOINT SECURITIES, INC.
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
COMMERCE WEALTH ADVISERS, LLC
CRD#: 144449 / SEC#: 801-68078
Contact information
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.
