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Sherri L. Mccarty

DIRECTTRADE SECURITIES
Gig Harbor, WA 98335
Some features on this profile are disabled
CRD#: 6606536
SM

Professional summary

Sherri Lynn Mccarty, who also goes by Sherri L Mccarty, Sherri Lynn Mccarty, is a registered financial professional currently at DIRECTTRADE SECURITIES, LLC located in Gig Harbor, Washington.

Sherri is registered as a RR (Registered Representative) and started their career in finance in 2016. Sherri has worked at 3 firms and has passed the Series 99TO, SIE, Series 99 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sherri L Mccarty | Sherri Lynn Mccarty

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sherri Lynn Mccarty'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

January 30, 2023 - Present

DIRECTTRADE SECURITIES, LLC

Office #1: 7708 84th Avenue Ct Nw, Gig Harbor, WA 98335
BD
CRD#: 315469
Gig Harbor, WA
Past

November 6, 2020 - March 5, 2021

SECURITIES AMERICA, INC.

BD
CRD#: 10205
SEATTLE, WA
Past

March 31, 2016 - November 6, 2020

KMS FINANCIAL SERVICES, INC.

BD
CRD#: 3866
SEATTLE, WA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 12/7/2022
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 3/31/2016
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/7/2022
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DIRECTTRADE SECURITIES, LLC
DIRECTTRADE SECURITIES, LLC

CRD#: 315469 / SEC#: , 8-70834

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
7708 84th Avenue Ct Nw, Gig Harbor, WA 98335
Mailing Address
7708 84th Avenue Ct Nw, Gig Harbor, WA 98335
Phone number
(425) 495-0104
Established
Washington since 06/25/2021
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ADVISOR SYSTEMS, INC.PARENT COMPANY
HIXON, JACY RYANPRESIDENT, CCO, MANAGING PARTNER2868818
SIMS, JEFFREY SCOTTFINOP, CFO, MANAGING PARTNER3247374

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.

Company Information

DIRECTTRADE SECURITIES, LLC

CRD#: 315469Gig Harbor, WA 98335

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