Shatara Troy
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.
Shatara Troy, who also goes by Shatara Francis, was a registered financial professional .
Shatara is a previously registered financial professional and started their career in finance in 2010. Shatara had worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 79 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
Experience
August 26, 2014 - February 18, 2022
HARBOR VIEW ADVISORS, LLC
December 23, 2010 - August 17, 2011
FIDELITY BROKERAGE SERVICES LLC
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
Series 79TO
Date: 6/17/2024
Investment Banking Registered Representative ExaminationCurrent Firm
HARBOR VIEW ADVISORS, LLC
CRD#: 151817 / SEC#: , 8-68401
Contact information
FINRA licenses (6 States and Territories)
Documents
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.
