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SS

Sanford F. Sloane

REGIMENT SECURITIES.
Chicago, IL 60611
Some features on this profile are disabled
CRD#: 1751428
SS

Professional summary

Sanford Fred Sloane, who also goes by Sandy Sloane, is a registered financial professional currently at REGIMENT SECURITIES, LLC. located in Chicago, Illinois.

Sanford is registered as a RR (Registered Representative) and started their career in finance in 1987. Sanford has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sandy 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sanford Fred 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

March 31, 2025 - Present

REGIMENT SECURITIES, LLC.

Office #1: 420 N. Wabash Avenue, Chicago, IL 60611
BD
CRD#: 311302
Chicago, IL
Past

October 30, 2024 - March 31, 2025

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

BD
CRD#: 154559
SALT LAKE CITY, UT
Past

August 16, 2021 - October 31, 2024

REGIMENT SECURITIES, LLC.

BD
CRD#: 311302
Chicago, IL
Past

March 14, 2017 - July 27, 2017

MATRIX 360 DISTRIBUTORS, LLC

BD
CRD#: 159715
FAIRWAY, KS
Past

September 22, 2016 - April 14, 2017

GRAIL SECURITIES, LLC

BD
CRD#: 136258
SAN FRANCISCO, CA
Past

May 13, 2011 - July 1, 2016

CABOT LANE LLC

BD
CRD#: 143301
NEW YORK, NY
Past

June 6, 2005 - March 8, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

March 8, 2004 - March 15, 2005

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

August 14, 2002 - February 23, 2004

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

February 25, 1993 - May 14, 1998

BANC ONE CAPITAL MARKETS, INC.

BD
CRD#: 23065
CHICAGO, IL
Past

October 20, 1987 - June 15, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(3/31/2025)
RR
Massachusetts
(3/31/2025)
RR
Michigan
(3/31/2025)
RR
New York
(3/31/2025)
RR
Pennsylvania
(3/31/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/3/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/12/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/17/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/16/2002
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/1/1993
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RS
REGIMENT SECURITIES, LLC.
REGIMENT SECURITIES, LLC.

CRD#: 311302 / SEC#: , 8-70607

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
420 N. Wabash Avenue, Chicago, IL 60611
Mailing Address
420 N. Wabash Avenue 430, Chicago, IL 60611
Phone number
(773) 480-7561
Established
Delaware since 09/21/2020
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (33 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
REGIMENT, LLC.MEMBER
BURNHAM, STEPHEN TYLERSHAREHOLDER/PRINCIPAL4663613
D&A CAPITAL PARTNERS LLCMEMBER
CAVANAUGH, MICHAEL ALANCEO/CCO4794844
JONES, SHARON DOSTERFINOP/PFO/POO3124470

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.

Company Information

REGIMENT SECURITIES, LLC.

CRD#: 311302Chicago, IL 60611

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