Rachel L. Sloan

SLOAN ADVISORY GROUP

Glens Falls, NY 12801

Some features on this profile are disabled

CRD#: 2412421

Professional summary

Rachel Lee Sloan, CFP®, who also goes by Rachel L Sloan, is a registered financial advisor currently at SLOAN ADVISORY GROUP, INC. located in Glens Falls, New York.

Rachel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Rachel has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 6 and Series 24 exams.

Biography

Rachel Sloan, CFP® has been providing advice and guidance to clients since 2004.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Life Transitions

Investment Planning

Tax Planning

Estate Planning

Insurance Planning

Employee and Employer Plan Ben...

Retirement Planning

Do you have an area of expertise or specialization?

High Net Worth Client Needs

Investment Advice with Ongoing...

Retirement Plan Investment Adv...

Retirement Planning & Distribu...

Unmarried Couples

Women's Financial Planning Iss...

What is your minimum asset requirement?

500K

Are you a "fiduciary"?

Yes

Aliases

Rachel L Sloan

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.

Beginning 2011- Designer & creator of a trademarked financial planning process called "Journey THROUGH RETIREMENT", Queensbury, NY. A process marketed towards financial planners to adopt in their own practice to enhance the client experience. Non investment related, Founder and Owner, 0-5 hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rachel Lee Sloan's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

January 3, 2017 - Present

SLOAN ADVISORY GROUP, INC.

Office #1: 237 Glen Street Suite 109, Glens Falls, NY 12801

RIA

CRD#: 284325

Glens Falls, NY

Past

June 18, 2010 - August 5, 2016

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

GLENS FALLS, NY

Past

April 20, 2009 - August 5, 2016

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

GLENS FALLS, NY

Past

November 11, 2005 - April 21, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CLIFTON PARK, NY

Past

November 11, 2005 - April 21, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CLIFTON PARK, NY

Past

July 28, 2004 - November 15, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 2, 1993 - March 30, 1994

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

November 2, 1993 - March 30, 1994

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

SLOAN ADVISORY GROUP, INC.

CRD#: 284325 / SEC#: 801-108115

RIA

Registered Investment Advisory firm - (8/1/2016 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.

Highlighted states indicate IAR registrations

IAR

New York
(4/29/2021)

IAR

Oregon
(8/9/2024)

IAR

Texas
(1/3/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/6/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/1/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/5/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/9/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/27/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/1/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/4/2015

General Securities Principal Examination

Current Firm

SLOAN ADVISORY GROUP, INC.

CRD#: 284325 / SEC#: 801-108115

RIA

Registered Investment Advisory firm - (8/1/2016 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

237 Glen Street Suite 109, Glens Falls, NY 12801

Mailing Address

Phone number

(888) 978-8880

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (2/18/2025)

Regulatory assets under management

Total Number of Accounts	120
AUM (Assets Under Management)	$ 53,814,014

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.

Contact information

(xxx) xxx-xxxx

Similar Advisors

Susan Miller

SLATEN WEALTH MANAGEMENT

IAR

Anaheim, CA

John Nguyen

MONEY CONCEPTS CAPITAL CORP

IAR

Placentia, CA

Rajpreet Sangha

PRINCIPAL SECURITIES, INC.

IAR

Tracy, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Rachel L. Sloan

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rachel Lee Sloan's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

SLOAN ADVISORY GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/6/2004

Series 63

Date: 11/1/1993

SIE

Date: 8/5/2016

Series 31

Date: 9/9/2004

Series 7

Date: 7/27/2004

Series 6

Date: 11/1/1993

Series 24

Date: 8/4/2015

Current Firm

SLOAN ADVISORY GROUP, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SLOAN ADVISORY GROUP, INC.

TRUST BUT VERIFY

Contact information

Similar Advisors