Darryl N. 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.
Darryl Newton Sloan was a registered financial professional .
Darryl is a previously registered financial professional and started their career in finance in 1988. Darryl had worked at 15 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2022 - March 15, 2025
CHARLES SCHWAB & CO., INC.
January 25, 2022 - March 15, 2025
CHARLES SCHWAB & CO., INC.
October 19, 2006 - October 14, 2022
TD AMERITRADE, INC.
October 19, 2006 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 14, 2006 - May 19, 2024
TD AMERITRADE, INC.
May 17, 2001 - August 25, 2006
GLOBAL-AMERICAN INVESTMENTS, INC.
February 14, 2000 - May 18, 2001
ETS SECURITIES, INC.
February 27, 1999 - June 8, 1999
CAPSTONE INVESTMENTS
January 4, 1999 - January 25, 1999
JWGENESIS FINANCIAL GROUP, INC
January 26, 1995 - January 4, 1999
CHATFIELD DEAN & CO., INC.
November 10, 1993 - January 20, 1995
FORESTERS EQUITY SERVICES, INC.
March 25, 1993 - March 29, 1993
VANGUARD CAPITAL
August 6, 1991 - March 10, 1993
AIMCO SECURITIES COMPANY, INC.
March 11, 1991 - July 26, 1991
H.J. MEYERS & CO., INC.
August 7, 1989 - March 1, 1991
CITIGROUP GLOBAL MARKETS INC.
May 19, 1988 - August 8, 1989
L.F. THOMPSON & COMPANY
February 24, 1988 - March 7, 1988
POWER SECURITIES CORPORATION
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/3/2000
Limited Representative-Equity Trader ExamCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
