The Strategic Financial Alliance (CRD# 126514) (SEC# 801-62226, 8-65885)
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with The Strategic Financial Alliance. If you suffered losses investing with The Strategic Financial Alliance, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
As of April 4, 2020, The Strategic Financial Alliance’s FINRA BrokerCheck Report contains the following:
1 Regulatory Event Disclosures
Main Office Location
2200 CENTURY PARKWAY
SUITE 500
ATLANTA, GA 30345
US
Mailing Address
2200 CENTURY PARKWAY
SUITE 500
ATLANTA, GA 30345
US
Business Telephone Number
678-954-4000
Direct Owners and Executive Officers
SFA HOLDINGS, INC., SHAREHOLDER
COPELAND, JOSEPH KILLINGSWORTH (CRD#:6847982), VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY
GOLDSMITH, ARTHUR BERTRAM (CRD#:706059), SVP
HOLLOWAY, LAREE L (CRD#:1365566), FINOP, VICE PRESIDENT
MERRIMAN, JEAN M (CRD#:2449646), VICE PRESIDENT, DUE DILIGENCE & PRODUCT MANAGEMENT
SLOVIN, CLIVE (CRD#:1101301), PRESIDENT; DIRECTOR
SULLIVAN, JULIE ANN (CRD#:1112088), SVP
SYWAK, ALEXANDER JAMES (CRD#:1937609), VICE PRESIDENT, SUPERVISION
WOLL, EDWARD BARNETT (CRD#:1096606), VICE PRESIDENT, CCO
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with The Strategic Financial Alliance and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
Formerly Known As, Aliases, and Affiliates
ADAMS FINANCIAL SERVICES, BENNCO ADVISORS, BOWERS PRIVATE WEALTH MANAGEMENT, CAPITAL INSIGHT GROUP, CARLYLE WEALTH MANAGEMENT, CARNEGIE WEALTH MANAGEMENT, CAROLINA WEALTH ADVISORS, COMPASS WEALTH MANAGEMENT, CORNERSTONE WEALTH MANAGEMENT, CORRIGAN FINANCIAL,DERAND CAPITAL MANAGEMENT GROUP, DUNN FINANCIAL SERVICES, ENCORE FINANCIAL CONSULTING, FINANCIAL PLANNING ADVISORY SERVICE, INC., FRANK REYNOLDS AND COMPANY, GEORGIA WEALTH PARTNERS, GOLDEN SWORD ALLIANCE, GROWTHPOINT ADVISORS, LLC, HUTCHINSON FAMILY OFFICES, KAP FINANCIAL SOLUTIONS, KEEN & POCOCK, KEEN ADVISORY GROUP, KEOWEE FINANCIAL GROUP, INC., KJM WEALTH MANAGEMENT, KNIGHT ASSET MANAGEMENT, KOEHN FINANCIAL GROUP, LARKSPUR FINANCIAL ADVISORS, MONEY CONCEPTS, INC., NAKAMURA STRATEGIC FINANCIAL PLANNING, NORTH GEORGIA WEALTH ADVISORS, O’NEIL FINANCIAL ADVISORS, PREHMUS FINANCIAL PARTNERS, PRIVATE CLIENT ADVISORY, RAUSCH FINANCIAL SERVICES, RELIANCE ADVISORY SERVICES, INC., SHERPA FINANCIAL ADVISORS, SNYDER FINANCIAL GROUP, STARR CAPITAL, THE RAPPAHANNOCK WEALTH ADVISORS, INC., THE STRATEGIC FINANCIAL ALLIANCE, THE STRATEGIC FINANCIAL ALLIANCE, INC., THE STRATEGIC FINANCIAL ALLIARCE, TOM BECK COMPANY, WELLSPRING ADVISORY SERVICES, LLC, ADAMS FINANCIAL SERVICES, BENNCO ADVISORS, BOWERS PRIVATE WEALTH MANAGEMENT, CAPITAL INSIGHT GROUP, CARLYLE WEALTH MANAGEMENT, CARNEGIE WEALTH MANAGEMENT, CAROLINA WEALTH ADVISORS, COMPASS WEALTH MANAGEMENT, CORNERSTONE WEALTH MANAGEMENT, CORRIGAN FINANCIAL,DERAND CAPITAL MANAGEMENT GROUP, DUNN FINANCIAL SERVICES, ENCORE FINANCIAL CONSULTING, FINANCIAL PLANNING ADVISORY SERVICE, INC., FRANK REYNOLDS AND COMPANY, GEORGIA WEALTH PARTNERS, GOLDEN SWORD ALLIANCE, GROWTHPOINT ADVISORS, LLC, HUTCHINSON FAMILY OFFICES, KAP FINANCIAL SOLUTIONS, KEEN & POCOCK, KEEN ADVISORY GROUP, KEOWEE FINANCIAL GROUP, INC., KJM WEALTH MANAGEMENT, KNIGHT ASSET MANAGEMENT, KOEHN FINANCIAL GROUP, LARKSPUR FINANCIAL ADVISORS, MONEY CONCEPTS, INC., NAKAMURA STRATEGIC FINANCIAL PLANNING, NORTH GEORGIA WEALTH ADVISORS, O’NEIL FINANCIAL ADVISORS, PREHMUS FINANCIAL PARTNERS, PRIVATE CLIENT ADVISORY, RAUSCH FINANCIAL SERVICES, RELIANCE ADVISORY SERVICES, INC., SHERPA FINANCIAL ADVISORS, SNYDER FINANCIAL GROUP, STARR CAPITAL, THE RAPPAHANNOCK WEALTH ADVISORS, INC., THE STRATEGIC FINANCIAL ALLIANCE, THE STRATEGIC FINANCIAL ALLIANCE, INC., THE STRATEGIC FINANCIAL ALLIARCE, TOM BECK COMPANY, WELLSPRING ADVISORY SERVICES, LLC
