Jeffrey C. 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.
Jeffrey Charles Slocum was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1987. Jeffrey had worked at 2 firms and has passed the Series 63, Series 7, Series 28 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
September 13, 1988 - March 29, 2004
PELMERCO, LTD.
October 21, 1987 - July 27, 1988
HANROW SECURITIES CORP.
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
Series 28
Date: 5/6/1992
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
PELMERCO, LTD.
CRD#: 22980 / SEC#: , 8-40070
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SLOCUM, JEFFREY CHARLES | DIRECTOR AND PRESIDENT | 1742481 |
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.
