David B. Sloan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Bancroft Sloan was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1996. David had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2018 - June 1, 2023
CAPULENT LLC
July 1, 2015 - June 22, 2016
CAPULENT LLC
January 19, 2012 - November 11, 2013
CAPULENT LLC
August 15, 2006 - January 24, 2011
GROWTH CAPITAL SERVICES, INC.
December 8, 2005 - December 14, 2005
RABO SECURITIES USA, INC.
March 29, 1996 - November 12, 2003
J.P. MORGAN SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPULENT LLC
CRD#: 155155 / SEC#: , 8-68699
Contact information
FINRA licenses (47 States and Territories)
Red Flags
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