Barry S. Sloane

Some features on this profile are disabled

CRD#: 1071206

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.

Barry Scott Sloane was a registered financial professional .

Barry is a previously registered financial professional and started their career in finance in 1982. Barry had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 8 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

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

September 14, 2016 - December 10, 2019

AK CAPITAL LLC

CRD#: 28345

NEW YORK, NY

Past

April 29, 2015 - July 29, 2016

AK CAPITAL LLC

CRD#: 28345

NEW YORK, NY

Past

April 30, 2001 - May 16, 2013

REVA CAPITAL MARKETS LLC

CRD#: 105791

NEW YORK, NY

Past

June 30, 1998 - June 9, 1999

GUGGENHEIM SECURITIES, LLC

CRD#: 40638

NEW YORK, NY

Past

April 3, 1997 - July 8, 1998

FINANCIAL ASSET MANAGEMENT, INC.

CRD#: 18514

COLUMBUS, OH

Past

November 11, 1993 - August 9, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 1, 1991 - October 19, 1993

AEGIS SECURITIES CORPORATION

CRD#: 26581

Past

October 27, 1988 - May 15, 1991

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

March 4, 1988 - October 24, 1988

J.P. MORGAN SECURITIES LLC

CRD#: 79

Past

July 25, 1987 - July 19, 1988

L.F. ROTHSCHILD MORTGAGE CAPITAL CORPORATION

CRD#: 19716

Past

November 19, 1986 - June 22, 1988

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

September 16, 1985 - October 7, 1986

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

November 24, 1982 - October 16, 1985

UBS FINANCIAL SERVICES INC.

CRD#: 8174

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

Series 63

Date: 6/3/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/20/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 10/7/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 24

Date: 9/23/1992

General Securities Principal Examination

Current Firm

AK CAPITAL LLC

A.K. CAPITAL, LLC | DAYTON, HANCOCK, WALTMAN SECURITIES, INC. | AK CAPITAL LLC

CRD#: 28345 / SEC#: , 8-43682

Terminated by SEC on 06/05/2022

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Mailing Address

Phone number

Established

New York since 11/16/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
KME HOLDINGS LLC	OWNER/MEMBER
EBERT, PAUL FRANCIS	FINANCIAL AND OPERATIONS PRINCIPAL/PRINCIPAL OPERATIONS OFFICER	1121231
LYNCH, WILLIAM RUSSELL	GENERAL SECURITIES PRINCIPAL	1879169
MELO, PETER JESUS	GSP/CCO/COMPLIANCE OFFICER	2485176

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Barry S. Sloane

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AK CAPITAL LLC

REVA CAPITAL MARKETS LLC

GUGGENHEIM SECURITIES, LLC

FINANCIAL ASSET MANAGEMENT, INC.

CITIGROUP GLOBAL MARKETS INC.

AEGIS SECURITIES CORPORATION

PERSHING LLC

J.P. MORGAN SECURITIES LLC

L.F. ROTHSCHILD MORTGAGE CAPITAL CORPORATION

L. F. ROTHSCHILD & CO. INCORPORATED

E. F. HUTTON & COMPANY INC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/3/1997

SIE

Date: 10/1/2018

Series 7

Date: 11/20/1982

Series 8

Date: 10/7/1994

Series 24

Date: 9/23/1992

Current Firm

AK CAPITAL LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

AK CAPITAL LLC

TRUST BUT VERIFY

Similar Advisors