PS
Peter C. Sloan
GUGGENHEIM INVESTMENTS
STEVENSVILLE, MD
Some features on this profile are disabled
CRD#: 2341641
PS
Professional summary
Peter Carson Sloan is a registered financial advisor currently at GUGGENHEIM INVESTMENTS located in Stevensville, Maryland and GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in Chicago, Illinois.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Peter has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Rental Investment Property; Non-investment related; 709 Chesapeake Drive, Stevensville, MD; Investment Property; Employee/Family Owned; 8/26/2022; 2 Hours per month; 0 during trading hours; Owner, Glidersleeve Holdings, ; investment-related, 119 Queens Colony High Road; an LLC established to hold real estate rental homes; role is a Partner/Owner; 11/6/2023; 10 hours per month; 0 during business hours; Owner.
CRS (Client Relationship Summary) - RIA
Click below to view Peter Carson Sloan's 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®
NoneExperience
Current
October 26, 2010 - Present
GUGGENHEIM INVESTMENTS
RIA
CRD#: 105477
STEVENSVILLE, MD
Current
March 3, 2014 - Present
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
Office #1: 227 West Monroe Street 7th Floor, Chicago, IL 60606RIA
BD
CRD#: 39805
Chicago, IL
Past
January 26, 2009 - October 28, 2010
RYDEX ADVISORY SERVICES, LLC
RIA
CRD#: 132735
ROCKVILLE, MD
Past
November 15, 2002 - March 3, 2014
GUGGENHEIM DISTRIBUTORS, LLC
BD
CRD#: 40805
ROCKVILLE, MD
Past
July 8, 1993 - November 13, 2002
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GI
GUGGENHEIM INVESTMENTS
6TH AVENUE INVESTMENT MANAGEMENT COMPANY | SECURITY MANAGEMENT COMPANY, LLC | SECURITY INVESTORS, LLC | SECURITY GLOBAL INVESTORS | RYDEX|SGI | RYDEX INVESTMENTS | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS ASSET MANAGEMENT | GUGGENHEIM INVESTMENTS | 6TH AVENUE INVESTMENT MANAGEMENT COMPANY, LLC
CRD#: 105477 / SEC#: 801-8008
RIA
Registered Investment Advisory firm - (11/20/1971 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(3/3/2014)
RR
Alaska(3/3/2014)
RR
Arizona(3/3/2014)
RR
Arkansas(3/3/2014)
RR
California(3/3/2014)
RR
Colorado(3/3/2014)
RR
Connecticut(3/3/2014)
RR
Delaware(3/3/2014)
RR
District of Columbia(3/3/2014)
RR
Florida(3/3/2014)
RR
Georgia(3/3/2014)
RR
Hawaii(3/3/2014)
RR
Idaho(3/3/2014)
RR
Illinois(3/3/2014)
RR
Indiana(3/3/2014)
RR
Iowa(3/3/2014)
RR
Kansas(3/3/2014)
RR
Kentucky(3/3/2014)
RR
Louisiana(3/3/2014)
RR
Maine(3/3/2014)
IAR
Maryland(10/26/2010)
RR
Maryland(3/3/2014)
RR
Massachusetts(3/3/2014)
RR
Michigan(3/3/2014)
RR
Minnesota(3/3/2014)
RR
Mississippi(3/3/2014)
RR
Missouri(3/3/2014)
RR
Montana(3/3/2014)
RR
Nebraska(3/3/2014)
RR
Nevada(3/3/2014)
RR
New Hampshire(3/3/2014)
RR
New Jersey(3/3/2014)
RR
New Mexico(3/3/2014)
RR
New York(3/3/2014)
RR
North Carolina(3/3/2014)
RR
North Dakota(3/3/2014)
RR
Ohio(3/3/2014)
RR
Oklahoma(3/3/2014)
RR
Oregon(3/3/2014)
RR
Pennsylvania(3/3/2014)
RR
Puerto Rico(3/3/2014)
RR
Rhode Island(3/3/2014)
RR
South Carolina(3/3/2014)
RR
South Dakota(3/3/2014)
RR
Tennessee(3/3/2014)
RR
Texas(3/3/2014)
RR
Utah(3/3/2014)
RR
Vermont(3/3/2014)
RR
Virginia(3/3/2014)
RR
Washington(3/3/2014)
RR
West Virginia(3/3/2014)
RR
Wisconsin(3/3/2014)
RR
Wyoming(3/3/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GI
GUGGENHEIM INVESTMENTS
6TH AVENUE INVESTMENT MANAGEMENT COMPANY | SECURITY MANAGEMENT COMPANY, LLC | SECURITY INVESTORS, LLC | SECURITY GLOBAL INVESTORS | RYDEX|SGI | RYDEX INVESTMENTS | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS ASSET MANAGEMENT | GUGGENHEIM INVESTMENTS | 6TH AVENUE INVESTMENT MANAGEMENT COMPANY, LLC
CRD#: 105477 / SEC#: 801-8008
RIA
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Contact information
Main Address
330 Madison Avenue 10th Floor, New York, NY 10017
Mailing Address
Phone number
(212) 739-0700
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 113 |
| AUM (Assets Under Management) | $ 7,395,263,411 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
