Jeffrey C. Sloan

WITNAUER SLOAN & ASSOCIATES

SCOTTSDALE, AZ 85258

CRD#: 2601797

Some features on this profile are disabled

Professional summary

Jeffrey Craig Sloan, CFP®, who also goes by Jeffery Craig Sloan, is a registered financial advisor currently at WITNAUER SLOAN & ASSOCIATES LLC located in Scottsdale, Arizona.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Jeffrey has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeffery Craig 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Craig 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®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

December 8, 2008 - Present

WITNAUER SLOAN & ASSOCIATES LLC

Office #1: 8777 E Via De Ventura Suite 375, Scottsdale, AZ 85258

RIA

CRD#: 113765

SCOTTSDALE, AZ

Past

September 3, 2002 - November 26, 2002

PENATES GROUP, INC.

CRD#: 44266

PACIFIC PALISADES, CA

Past

June 1, 1998 - August 30, 2002

GAINEY FINANCIAL SERVICES, INC.

CRD#: 27968

SCOTTSDALE, AZ

Past

June 25, 1996 - May 21, 1998

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

April 28, 1995 - May 13, 1996

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 28, 1995 - May 13, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Arizona
(12/8/2008)

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 65

Date: 5/3/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/10/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/27/1995

General Securities Representative Examination

Current Firm

WITNAUER SLOAN & ASSOCIATES LLC

CRD#: 113765 / SEC#:

Arizona

Registered Investment Advisory firm - (8/23/1999 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

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

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

Contact information

Main Address

8777 E Via De Ventura Suite 375, Scottsdale, AZ 85258

Mailing Address

Phone number

(602) 493-5930

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	102
AUM (Assets Under Management)	$ 56,589,271

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.

Similar Advisors

Joseph Di Vito

RBC CAPITAL MARKETS, LLC

IAR

Scottsdale, AZ

Timothy Hughes

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Scottsdale, AZ

Julie Danapilis

CETERA INVESTMENT SERVICES LLC

PHOENIX, AZ

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jeffrey C. Sloan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Craig Sloan's CRS (Customer Relationship Summary).

Certified licenses

Experience

WITNAUER SLOAN & ASSOCIATES LLC

PENATES GROUP, INC.

GAINEY FINANCIAL SERVICES, INC.

SUNAMERICA SECURITIES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/3/1999

Series 63

Date: 5/10/1995

Series 7

Date: 4/27/1995

Current Firm

WITNAUER SLOAN & ASSOCIATES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WITNAUER SLOAN & ASSOCIATES LLC

TRUST BUT VERIFY

Similar Advisors