THE STRATEGIC FINANCIAL ALLIANCE, INC. of ATLANTA, GA is an SEC-registered investment adviser (CRD 126514). Regulatory assets under management: $382.0M.
Compensation: % of AUM, Hourly, Fixed, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
Showing 25 of 27 people.
| Name | Role | Location |
|---|---|---|
| Maxwell S Thomas | PARTNER | Gilbert, AZ |
| Clive Slovin | DIRECTOR | Atlanta, GA |
| Arthur Bertram Goldsmith | SVP | — |
| Edward Barnett Woll | VICE PRESIDENT, CCO | — |
| Joseph Killingsworth Copeland | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | — |
| Julie Ann Sullivan | PRESIDENT, DIRECTOR | — |
| Anna Elise Tatum | CFO | — |
| David Schroll | VICE-PRESIDENT SUPERVISION | — |
| Veronica Ray Harrell | ASSISTANT VICE-PRESIDENT | — |
| MARTIN ROBERT JAMES | FIN OP | — |
| SLOVIN CLIVE | DIRECTOR; PRESIDENT; DIRECTOR; PRESIDENT; FINOP (+1 more) | — |
| GOLDSMITH ARTHUR BERTRAM | CHIEF COMPLIANCE OFFICER/SVP; SENIOR VICE PRESIDENT; SVP (+1 more) | — |
| WOLL EDWARD BARNETT | CHIEF COMPLIANCE OFFICER, SROP/CROP; COMPLIANCE OFFICER, SROP/CROP; VICE PRESIDENT (+1 more) | — |
| GUTHRIE ANTHONY ALAN | PARTNER | — |
| PHELPS KENNETH JOYNER | PARTNER | — |
| SULLIVAN GAIL ANN | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, SVP; PRESIDENT, DIRECTOR (+1 more) | — |
| KENNEDY SHAYNA JANELLA | CHIEF COMPLIANCE OFFICER, SROP/CROP | — |
| FLINN ANDREW JOSEPH | SHAREHOLDER | — |
| MAXWELL JAMES T | PARTNER | — |
| PAYNE CHESTER CARLTON | SVP, CHIEF OPERATING OFFICER | — |
| MARSHALL SHAYNA JANELLA | CHIEF COMPLIANCE OFFICER, SROP/CROP | — |
| HOLLOWAY LAREE L | FINOP, VICE PRESIDENT | — |
| SYWAK ALEXANDER JAMES | VICE PRESIDENT, SUPERVISION | — |
| Copeland Joseph Killingsworth | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | — |
| MERRIMAN JEAN M | VICE PRESIDENT, DUE DILIGENCE & PRODUCT MANAGEMENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-10-29 | regulatory | FINRA ALLEGES THAT BETWEEN 11/01/2011 AND 12/09/2014 FIRM HAD NO SUPERVISORY PROCEDURES ADDRESSING THE USE AND SUPERVISION OF CONSOLIDATED REPORTS; FIRM INADEQUATELY ADDRESSED VERIFICATION OF VALUATION INFORMATION; FIRM DID NOT MAINTAIN DOCUMENTATION DEMONSTRATING PROPER REVIEW AND MAINTENANCE OF CO… | Final | $30K |
| — | regulatory | — | — | — |