Alexander J. Sloane
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.
Alexander Johnston Sloane, who also goes by Alexander J Sloane, Alexander Johnson Sloane, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 1989. Alexander had worked at 3 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 27 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
January 11, 2000 - July 10, 2018
A.J. SLOANE & COMPANY, LLC
January 28, 1998 - April 7, 2000
EDELMAN SECURITIES COMPANY, L.P.
June 2, 1989 - June 7, 1996
CITIGROUP GLOBAL MARKETS INC.
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
A.J. SLOANE & COMPANY, LLC
CRD#: 47653 / SEC#: , 8-51848
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SLOANE, ALEXANDER JOHNSTON | PRESIDENT & CHIEF COMPLIANCE OFFICER | 1923657 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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