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MS

Mitchell H. Sloane

Some features on this profile are disabled
CRD#: 2166032
MS

Professional summary

Mitchell Harris Sloane was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mitchell is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Mitchell had worked at 8 firms, which includes WESTROCK ADVISORS INC., J.P. TURNER & COMPANY L.L.C., TASIN & COMPANY INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, FLEET ENTERPRISES INC., KIRLIN SECURITIES INC., ROBERT TODD FINANCIAL CORP., KEDEM CAPITAL CORPORATION.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mitch 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 5, 2006 - June 2, 2010

WESTROCK ADVISORS, INC.

BD
CRD#: 114338
MELVILLE, NY
Past

November 2, 2001 - March 31, 2006

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
RONKONKOMA, NY
Past

September 25, 1996 - August 23, 2000

TASIN & COMPANY, INC.

BD
CRD#: 30709
HAUPPAUGE, NY
Past

January 26, 1996 - September 9, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 20, 1994 - November 22, 1995

FLEET ENTERPRISES, INC.

BD
CRD#: 17434
NEW YORK, NY
Past

December 8, 1992 - June 23, 1994

KIRLIN SECURITIES INC.

BD
CRD#: 21210
SYOSSET, NY
Past

December 12, 1991 - December 2, 1992

ROBERT TODD FINANCIAL CORP.

BD
CRD#: 7423
NEW YORK, NY
Past

December 12, 1991 - June 24, 1994

KEDEM CAPITAL CORPORATION

BD
CRD#: 18178
MELVILLE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/3/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/9/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/11/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/12/1999
General Securities Principal Examination

Current Firm

WA
WESTROCK ADVISORS, INC.
WESTROCK ADVISORS, INC.

CRD#: 114338 / SEC#: , 8-53419

BD
Terminated by SEC on 08/07/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 08/30/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WESTROCK GROUP INCSHH
DINATALE, ELIZABETH ANNEFINOP1960549
HUNTER, DONALD HORTON JRPRESIDENT1849030
LEVINE, JOAN DOLORESCOO207124
SHAPIRO, ANDREW JAYCHIEF COMPLIANCE OFFICER, ROSFP1104658

Disclosures

Regulatory Event13
Arbitration9

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

WESTROCK ADVISORS, INC.

CRD#: 114338

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