Nicholas R. Sloane

SOLOMON API LLC

GLENDALE HEIGHTS, IL

Some features on this profile are disabled

CRD#: 1325510

Professional summary

Nicholas Robert Sloane, who also goes by Nick Sloane, is a registered financial advisor currently at SOLOMON API LLC located in Glendale Heights, Illinois.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Nicholas has worked at 9 firms and has passed the Series 63, Series 6 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nick Sloane

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.

SLOANE WEALTH MANAGEMENT SM; YES INVESTMENT RELATED; 27475 FERRY RD, WARRENVILLE, IL, 60555; INSURANCE SALES; OWNER; START DATE 06/2002; APPROX 140 HRS/MONTH; APPROX 140 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Robert Sloane's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

July 22, 2024 - Present

SOLOMON API LLC

RIA

CRD#: 159471

GLENDALE HEIGHTS, IL

Past

September 23, 2019 - July 22, 2024

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

Warrenville, IL

Past

February 8, 2018 - September 24, 2019

WEALTH WATCH ADVISORS, INC

RIA

CRD#: 172002

WARRENVILLE, IL

Past

October 25, 2012 - February 7, 2018

SGL FINANCIAL, LLC

RIA

CRD#: 158023

WARRENVILLE, IL

Past

January 28, 2010 - October 31, 2012

SLOANE WEALTH MANAGEMENT LLC

RIA

CRD#: 152747

WARRENVILLE, IL

Past

February 23, 2009 - November 24, 2009

USA WEALTH MANAGEMENT LLC

RIA

CRD#: 122082

BLOOMINGDALE, IL

Past

February 3, 1998 - July 14, 1998

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

July 22, 1988 - February 11, 1997

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

December 24, 1984 - July 26, 1988

CONSOLIDATED RESOURCES, INC.

CRD#: 13747

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SOLOMON API LLC

CRD#: 159471 / SEC#: 801-113882

RIA

Registered Investment Advisory firm - (8/23/2018 Approved)

Florida

Registered Investment Advisory firm - (5/6/2019 Terminated)

Indiana

Registered Investment Advisory firm - (9/25/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/14/2015 Terminated)

Texas

Registered Investment Advisory firm - (5/6/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(7/22/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/21/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 1/7/1985

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 12/21/1984

Direct Participation Programs Representative Examination

Current Firm

SOLOMON API LLC

CRD#: 159471 / SEC#: 801-113882

RIA

Registered Investment Advisory firm - (8/23/2018 Approved)

Florida

Registered Investment Advisory firm - (5/6/2019 Terminated)

Indiana

Registered Investment Advisory firm - (9/25/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/14/2015 Terminated)

Texas

Registered Investment Advisory firm - (5/6/2019 Terminated)

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

1950 Rockledge Unit 201, Rockledge, FL 32955

Mailing Address

Phone number

(321) 888-2599

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,377
AUM (Assets Under Management)	$ 362,000,000

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

Nicholas R. Sloane

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Robert Sloane's CRS (Customer Relationship Summary).

Certified licenses

Experience

AE WEALTH MANAGEMENT, LLC

WEALTH WATCH ADVISORS, INC

SGL FINANCIAL, LLC

SLOANE WEALTH MANAGEMENT LLC

USA WEALTH MANAGEMENT LLC

NYLIFE SECURITIES LLC

SECURIAN FINANCIAL SERVICES, INC.

CONSOLIDATED RESOURCES, INC.

Primary Firm SEC Registration

SOLOMON API LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/21/1991

Series 6

Date: 1/7/1985

Series 22

Date: 12/21/1984

Current Firm

SOLOMON API LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOLOMON API LLC

TRUST BUT VERIFY

Similar Advisors