SW
Samantha J. Wise
ALLY INVEST SECURITIES LLC
Charlotte, NC 28202
Some features on this profile are disabled
CRD#: 6618789
SW
Professional summary
Samantha Jo Wise, who also goes by Samantha Hobbs, Samantha Milks, is a registered financial professional currently at ALLY INVEST SECURITIES LLC located in Charlotte, North Carolina.
Samantha is registered as a RR (Registered Representative) and started their career in finance in 2018. Samantha has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Samantha Hobbs | Samantha Milks
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.
CRS (Client Relationship Summary) - BD
Click below to view Samantha Jo Wise'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
May 17, 2018 - Present
ALLY INVEST SECURITIES LLC
Office #1: 601 S. Tryon St. Suite 100, Charlotte, NC 28202BD
CRD#: 136131
Charlotte, NC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(1/28/2019)
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Alaska(1/28/2019)
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Arizona(1/28/2019)
RR
Arkansas(1/28/2019)
RR
California(1/28/2019)
RR
Colorado(1/28/2019)
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Connecticut(1/28/2019)
RR
Delaware(1/28/2019)
RR
District of Columbia(1/28/2019)
RR
Florida(1/28/2019)
RR
Georgia(1/28/2019)
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Hawaii(1/28/2019)
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Idaho(1/28/2019)
RR
Illinois(1/28/2019)
RR
Indiana(1/28/2019)
RR
Iowa(1/28/2019)
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Kansas(1/28/2019)
RR
Kentucky(1/28/2019)
RR
Louisiana(1/28/2019)
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Maine(1/28/2019)
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Maryland(1/28/2019)
RR
Massachusetts(1/28/2019)
RR
Michigan(1/28/2019)
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Minnesota(1/28/2019)
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Mississippi(1/28/2019)
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Missouri(1/28/2019)
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Montana(1/28/2019)
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Nebraska(1/28/2019)
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Nevada(1/28/2019)
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New Hampshire(1/28/2019)
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New Jersey(1/28/2019)
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New Mexico(1/28/2019)
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New York(1/28/2019)
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North Carolina(8/20/2018)
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North Dakota(1/28/2019)
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Ohio(1/28/2019)
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Oklahoma(1/28/2019)
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Oregon(1/28/2019)
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Pennsylvania(1/28/2019)
RR
Puerto Rico(1/28/2019)
RR
Rhode Island(1/28/2019)
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South Carolina(1/28/2019)
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South Dakota(1/28/2019)
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Tennessee(1/28/2019)
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Texas(1/28/2019)
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Utah(1/28/2019)
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Vermont(1/28/2019)
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Virginia(1/28/2019)
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Washington(1/28/2019)
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West Virginia(1/28/2019)
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Wisconsin(1/28/2019)
RR
Wyoming(1/28/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AI
ALLY INVEST SECURITIES LLC
ALLY INVEST SECURITIES LLC | TRADEKING SECURITIES LLC | TRADEKING LLC | TRADEKING | KANE REID SECURITIES GROUP, INC.
CRD#: 136131 / SEC#: , 8-66982
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
601 S Tryon Street Suite 100, Charlotte, NC 28202
Mailing Address
P.o. Box 30248, Charlotte, NC 28230
Phone number
(855) 880-2559
Established
Delaware since 08/23/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
