Brooke L. Senter

UWHARRIE INVESTMENT ADVISORS

Albemarle, NC 28001

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CRD#: 4690337

Professional summary

Brooke Laton Senter, who also goes by Brooke Elizabeth Laton, is a registered financial advisor currently at UWHARRIE INVESTMENT ADVISORS, INC. located in Albemarle, North Carolina and THE STRATEGIC ALLIANCE CORPORATION located in Albemarle, North Carolina.

Brooke is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Brooke has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brooke Elizabeth Laton

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.

1) TREASURER OF BOARD OF DIRECTORS FOR CUSTOM DOORS, INC. (FAMILY BUSINESS); APPROX. 10HRS PER WEEK 2) FIRST LUTHERAN CHURCH CHAIR,10 HRS/MONTH, FINANCE COMMITTEE & FINANCIAL SECRETARY FEB 2022 3) STANLY COMMUNITY FOUNDATION ADVISOR BOARD FEB 2022; PHILANTHOPY & ADDRESS LOCAL COMMUNITY NEEDS; 10 HRS/MONTH 4) CHARLOTTE REGIONAL BUSINESS ALLIANCE; FEB 2021; REGIONAL CHAMBER OF COMMERCE; 5 HRS/MONTH 5) UCC COMMUNITY FOUNDATION BOARD MEMBER, CORP SECRETARY JAN 2022

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brooke Laton Senter'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

February 26, 2019 - Present

UWHARRIE INVESTMENT ADVISORS, INC.

Office #1: 132 North First Street, Albemarle, NC 28001

RIA

CRD#: 117592

Albemarle, NC

Current

February 27, 2019 - Present

THE STRATEGIC ALLIANCE CORPORATION

Office #1: 132 North 1st Street, Albemarle, NC 28001

CRD#: 32788

Albemarle, NC

Past

November 22, 2011 - May 8, 2017

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

ALBEMARLE, NC

Past

December 8, 2005 - May 18, 2017

UWHARRIE INVESTMENT ADVISORS, INC.

RIA

CRD#: 117592

ALBEMARLE, NC

Past

March 30, 2005 - December 6, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

ALBEMARLE, NC

Past

March 30, 2005 - November 21, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

ALBEMARLE, NC

Past

May 21, 2004 - April 26, 2005

THE STRATEGIC ALLIANCE CORPORATION

CRD#: 32788

ALBEMARLE, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

UWHARRIE INVESTMENT ADVISORS, INC.

STRATEGIC INVESTMENT ADVISORS, INC. | UWHARRIE INVESTMENT ADVISORS, INC. | UWHARRE INVESTMENT ADVISORS, INC.

CRD#: 117592 / SEC#: 801-63767

RIA

Registered Investment Advisory firm - (1/3/2005 Approved)

North Carolina

Registered Investment Advisory firm - (2/2/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

IAR

North Carolina
(2/26/2019)

North Carolina
(2/27/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/4/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/8/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/20/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

UWHARRIE INVESTMENT ADVISORS, INC.

STRATEGIC INVESTMENT ADVISORS, INC. | UWHARRIE INVESTMENT ADVISORS, INC. | UWHARRE INVESTMENT ADVISORS, INC.

CRD#: 117592 / SEC#: 801-63767

RIA

Registered Investment Advisory firm - (1/3/2005 Approved)

North Carolina

Registered Investment Advisory firm - (2/2/2005 Terminated)

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Contact information

Main Address

132 North First Street, Albemarle, NC 28001

Mailing Address

P.o. Box 1517, Albemarle, NC 28002

Phone number

(704) 983-5959

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A WRAP BROCHURE (4/23/2025)

PART 2A BROCHURE (4/23/2025)

Regulatory assets under management

Total Number of Accounts	811
AUM (Assets Under Management)	$ 278,247,352

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.

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Advisor Monitoring

Firm Stability Insights

Brooke L. Senter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brooke Laton Senter's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE STRATEGIC ALLIANCE CORPORATION

PRIVATE CLIENT SERVICES, LLC

UWHARRIE INVESTMENT ADVISORS, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

THE STRATEGIC ALLIANCE CORPORATION

Primary Firm SEC Registration

UWHARRIE INVESTMENT ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/4/2004

SIE

Date: 5/8/2017

Series 7

Date: 5/20/2004

FINRA

Current Firm

UWHARRIE INVESTMENT ADVISORS, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UWHARRIE INVESTMENT ADVISORS, INC.

TRUST BUT VERIFY

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