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Caitlin P. Garner
SC&H WEALTH
Sparks, MD 21152-9390
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CRD#: 4788119
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Professional summary
Caitlin Patricia Winter Garner, who also goes by Caitlin Patricia Garner, Caitlin Patricia Winter, is a registered financial advisor currently at SC&H WEALTH located in Sparks, Maryland.
Caitlin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Caitlin has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Caitlin Patricia Garner | Caitlin Patricia Winter
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) SC&H GROUP, INC. // NOT INVESTMENT RELATED // 910 RIDGEBROOK ROAD; SPARKS, MD 21152 // SC&H GROUP, A TAX, AUDIT, CONSULTING AND INVESTMENT BANKING FIRM, IS THE PARENT COMPANY OF SC&H FINANCIAL ADVISORS, INC. SC&H GROUP IS THE EMPLOYER, BENEFITS AND PAYROLL PROVIDER FOR ALL SC&H EMPLOYEES. SC&H GROUP ALSO ORGANIZES AND DIRECTS CERTAIN CORPORATE, SOCIAL, COMMUNITY SERVICE AND TRAINING ACTIVITIES IN WHICH ALL SC&H EMPLOYEES MAY PARTICIPATE. // HOURS AS NEEDED IN THE NORMAL COURSE OF BUSINESS // NO SPECIFIC DUTIES FOR SC&H GROUP, INC. 2) LICENSED INSURANCE AGENT // INVESTMENT RELATED // 910 RIDGEBROOK ROAD; SPARKS, MD 21152 // SALE OF INSURANCE-RELATED PRODUCTS // AGENT // HOURS AS NEEDED IN COURSE OF NORMAL BUSINESS, MOST OF WHICH WILL BE DURING TRADING HOURS // DUTIES INCLUDE MAINTAINING APPOINTMENTS WITH CARRIERS AND THE SALE OF INSURANCE PRODUCTS TO CLIENTS WHERE APPROPRIATE. 3) YOUNG LIVING ESSENTIAL OILS // NOT INVESTMENT-RELATED // FROM PERSONAL RESIDENCE // DISTRIBUTOR // START 9/2018 // 5 HOURS PER MONTH // 0 HOURS DURING TRADING HOURS // ENROLL FAMILY AND FRIENDS IN ESSENTIAL OILS PROGRAM.
CRS (Client Relationship Summary) - RIA
Click below to view Caitlin Patricia Winter Garner's 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®
NoneExperience
Current
February 17, 2014 - Present
SC&H WEALTH
Office #1: 910 Ridgebrook Road, Sparks, MD 21152-9390RIA
CRD#: 120666
Sparks, MD
Past
January 22, 2014 - October 18, 2017
TRIAD ADVISORS LLC
BD
CRD#: 25803
SPARKS, MD
Past
April 8, 2005 - December 24, 2013
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
TOWSON, MD
Past
February 1, 2005 - December 24, 2013
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
TOWSON, MD
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".
SW
SC&H WEALTH
SC & H CAPITAL ADVISORS, INC. | SC&H WEALTH | SC&H FINANCIAL ADVISORS, INC. | SC&H CORE
CRD#: 120666 / SEC#: 801-69985
RIA
Registered Investment Advisory firm - (3/16/2009 Approved)Maryland
Registered Investment Advisory firm - (3/23/2009 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/24/2009 Terminated)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.Highlighted states indicate IAR registrations
IAR
Maryland(2/17/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
SW
SC&H WEALTH
SC & H CAPITAL ADVISORS, INC. | SC&H WEALTH | SC&H FINANCIAL ADVISORS, INC. | SC&H CORE
CRD#: 120666 / SEC#: 801-69985
RIA
Registered Investment Advisory firm - (3/16/2009 Approved)Maryland
Registered Investment Advisory firm - (3/23/2009 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/24/2009 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
910 Ridgebrook Road, Sparks, MD 21152-9390
Mailing Address
Phone number
(410) 403-1500
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (17 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,057 |
| AUM (Assets Under Management) | $ 1,128,274,401 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/20/2024 | ||
| 01/02/2024 | ||
| 11/17/2022 |
Red Flags
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Company Information
SC&H WEALTH
CRD#: 120666Sparks, MD 21152-9390TRUST BUT VERIFY
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