Donald F. Slocum
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.
Donald Frederick Slocum, who also goes by D Frederick Slocum, Ric Slocum, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1981. Donald had worked at 6 firms and has passed the Series 63, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2010 - August 31, 2012
STILLPOINT CAPITAL, LLC
January 30, 2004 - July 7, 2010
SF INVESTMENTS, INC.
December 10, 2001 - January 2, 2004
INSIGHT SECURITIES, INC.
November 10, 1997 - September 2, 1998
BANC ONE BROKERAGE INTERNATIONAL CORPORATION
September 28, 1994 - February 2, 2001
BANC ONE CAPITAL MARKETS, INC.
May 9, 1991 - September 11, 1991
BANC ONE CAPITAL MARKETS, INC.
December 20, 1988 - April 4, 1990
KIDDER, PEABODY & CO. INCORPORATED
July 21, 1981 - August 6, 1985
KIDDER, PEABODY & CO. 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
STILLPOINT CAPITAL, LLC
CRD#: 133146 / SEC#: , 8-66688
Contact information
FINRA licenses (52 States and Territories)
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.
