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SM

Samuel R. Mccartney

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CRD#: 7380698
SM

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.

Samuel Roy Mccartney was a registered financial professional .

Samuel is a previously registered financial professional and started their career in finance in 2022. Samuel had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
HY-VEE FINANCIAL SERVICES POSITION: Agent NATURE: Insurance Sales and Service INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/19/2021 ADDRESS: 3580 EP True Parkway, West Des Moines IA 50265, United States DESCRIPTION: Insurance sales and service. MIDWEST HERITAGE FINANCIAL SERVICES POSITION: Agent NATURE: Insurance Sales and Service INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/19/2021 ADDRESS: 3580 EP True Parkway, West Des Moines IA 50265, United States DESCRIPTION: Insurance sales and service. MCCARTNEY TRIM CORPORATION POSITION: Treasurer NATURE: New home construction. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/03/2018 ADDRESS: 22351 360th St., De Soto IA 50069, United States DESCRIPTION: This is a symbolic position.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 23, 2022 - April 22, 2024

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
Des Moines, IA
Past

June 8, 2022 - July 15, 2022

MIDWEST HERITAGE FINANCIAL ADVISORS

RIA
CRD#: 306308
WEST DES MOINES, IA
Past

April 13, 2022 - August 15, 2022

SECURITIES AMERICA, INC.

BD
CRD#: 10205
WEST DES MOINES, IA

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

State Security Law Exam
RR
IAR
Series 66
Date: 5/23/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/13/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/9/2021
Securities Industry Essentials Examination

Current Firm

GA
GLOBAL ATLANTIC DISTRIBUTORS, LLC
FORETHOUGHT DISTRIBUTORS, LLC | PLANCO FINANCIAL SERVICES, LLC | PLANCO FINANCIAL SERVICES, INC. | HARTFORD LIFE DISTRIBUTORS, LLC | GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326 / SEC#: , 8-25027

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

Main Address
One Financial Plaza 755 Main Street 24th Floor, Hartford, CT, 06103
Mailing Address
One Financial Plaza 755 Main Street 24th Floor, Hartford, CT, 06103
Phone number
(877) 454-4777
Established
Delaware since 12/15/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GLOBAL ATLANTIC (FIN) COMPANYOWNER
BICKLER, JASON ALEXANDERPRESIDENT AND MANAGER4164884
MOORCROFT, WILLIAM BENJAMINCHIEF COMPLIANCE OFFICER4258952
NELSON, PAULA GENEVIEVEMANAGER, HEAD OF DISTRIBUTION2015528
PAULOUSKY, MICHAEL RYANTREASURER7339297
RAMOS, SAMUELGENERAL COUNSEL AND SECRETARY6722343
RIP, OLGAFINOP AND CHIEF FINANCIAL OFFICER5440553
RUTHERFORD, KELLY JUNESENIOR VICE-PRESIDENT7282305
SIEGEL, DEAN CYRUSVICE PRESIDENT3224832
TODD, ERIC DAVIDMANAGER2175308
WEISS, DAVID LEESENIOR VICE PRESIDENT2345057

Disclosures

Regulatory Event2

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

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

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