Tracy E. Sloan
Professional summary
Tracy Elaine Sloan, who also goes by Tracy Hostetter, Tracy Sloan, is a registered financial professional currently at AE FINANCIAL SERVICES, LLC located in Topeka, Kansas.
Tracy is registered as a RR (Registered Representative) and started their career in finance in 1997. Tracy has worked at 3 firms and has passed the SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tracy Elaine Sloan's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 29, 2022 - Present
AE FINANCIAL SERVICES, LLC
Office #1: 4125 Sw Gage Center Dr, Topeka, KS 66614Office #2: 8801 Renner Blvd., Lenexa, KS 66219-9717January 20, 2009 - April 30, 2021
IVY DISTRIBUTORS, INC.
August 4, 2005 - April 17, 2006
IVY DISTRIBUTORS, INC.
January 23, 1997 - December 17, 2021
WADDELL & REED
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
FINRA
Current Firm
AE FINANCIAL SERVICES, LLC
CRD#: 298608 / SEC#: , 8-70214
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AE FS HOLDINGS, LLC | OWNER | |
| CALLANAN, DAVID JAMES | CHIEF EXECUTIVE OFFICER | 4237166 |
| GOCHENOUR, JOLENE KAY | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 6728358 |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHOLZ, SHAWN | PRESIDENT | 2891167 |
| WOLFE, DAVID ROBB | GENERAL COUNSEL AND SECRETARY | 6603373 |
Red Flags
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