Samantha K. Mcgarity
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.
Samantha Katelyn Mcgarity, who also goes by Samantha Hatley, was a registered financial professional .
Samantha is a previously registered financial professional and started their career in finance in 2016. Samantha had worked at 3 firms and has passed the Series 66, SIE 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
October 22, 2019 - December 4, 2024
THE STRATEGIC ALLIANCE CORPORATION
July 17, 2017 - December 4, 2024
UWHARRIE INVESTMENT ADVISORS, INC.
November 1, 2016 - October 10, 2019
PRIVATE CLIENT 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
Current Firm
THE STRATEGIC ALLIANCE CORPORATION
CRD#: 32788 / SEC#: , 8-46341
Contact information
FINRA licenses (2 States and Territories)
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.
