Shelley J. Sloan
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.
Shelley Jean Sloan, who also goes by Shelley Jean Sloan-gonder, Shelley Jean Sloangonder, was a registered financial professional .
Shelley is a previously registered financial professional and started their career in finance in 1985. Shelley had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2012 - February 9, 2015
WORLD CAPITAL BROKERAGE, INC.
October 21, 2008 - September 13, 2010
WEDBUSH SECURITIES INC.
February 1, 2007 - November 14, 2008
PEACOCK, HISLOP, STALEY & GIVEN, INC.
August 2, 2006 - January 31, 2007
A. G. EDWARDS & SONS, INC.
February 13, 2006 - September 7, 2006
WFG INVESTMENTS, INC.
December 7, 2005 - February 1, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 6, 2005 - September 2, 2005
WFG INVESTMENTS, INC.
January 29, 1999 - June 10, 2005
RBC CAPITAL MARKETS, LLC
March 9, 1993 - February 8, 1999
PRUDENTIAL EQUITY GROUP, LLC
September 24, 1990 - February 11, 1993
UBS FINANCIAL SERVICES INC.
May 31, 1988 - September 7, 1990
MORGAN STANLEY DW INC.
February 21, 1985 - June 9, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WORLD CAPITAL BROKERAGE, INC.
CRD#: 37 / SEC#: , 8-6805
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
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.
