FS
Francis G. Sloan Iii
CETERA INVESTMENT ADVISERS LLC
MIDLOTHIAN, VA 23113
Some features on this profile are disabled
CRD#: 2937385
FS
Professional summary
Francis Gibbons Sloan Iii, AIF®, who also goes by F. Gibbons Sloan III, F. Gibbons Sloan, Francis Gibbons Sloan III, Francis Gibbons Sloan, Gib Sloan, Gibby Sloan Iii, Gib Sloan Iii, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Midlothian, Virginia and CETERA WEALTH SERVICES, LLC located in Charlotte, North Carolina.
Francis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Francis has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
F. Gibbons Sloan Iii | F. Gibbons Sloan | Francis Gibbons Sloan Iii | Francis Gibbons Sloan | Gib Sloan | Gibby Sloan Iii | Gib Sloan Iii
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.
1. CHESTERFIELD COUNTY PLANNING COMMISION POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2016 ADDRESS: , Chesterfield VA , United States DESCRIPTION: Advisory Board 2. FRIENDS OF JIM INGLE POSITION: Member NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2019 ADDRESS: , Chester VA , United States DESCRIPTION: Member 3. VAM FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 02/01/2018 ADDRESS: , Midlothian VA , United States DESCRIPTION: Agent/Broker 4. VIRGINIA ASSOC OF COMMUNITY SEVICES BOARDS POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 5 START DATE: 07/01/2015 ADDRESS: , Glen Allen VA , United States DESCRIPTION: Advisory Board 5. ASSOCIATION OF FINANCIAL EDUCATORS POSITION: Member NATURE: Referral Agreement INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 03/01/2020 ADDRESS: 700 Lavaca Ave, Suite 1400, Austin TX 78701, United States DESCRIPTION: A referral for us to approach the (qualified) company to do Corporate Education. Once the referral is made to us, there is no other fee, compensation to UFE. 6. NAME OF OTHER BUSINESS: VIRGINIA ASSET MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 02/2018 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: OFFER SECURITIES, INSURANCE AND ADVISORY SERVICES; 7. NAME OF OTHER BUSINESS: VAM PARTNERS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 11/2025, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Francis Gibbons Sloan Iii'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®
Experience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 130 Wylderose Dr, Midlothian, VA 23113Office #2: 6135 Park South Drive Suite 510, Charlotte, NC 28210RIA
CRD#: 105644
MIDLOTHIAN, VA
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 6135 Park South Drive Suite 500, Charlotte, NC 28210Office #2: 130 Wylderose Drive, Midlothian, VA 23113BD
CRD#: 13572
Charlotte, NC
Past
February 16, 2018 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
MIDLOTHIAN, VA
Past
February 16, 2018 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
MIDLOTHIAN, VA
Past
March 25, 2017 - February 16, 2018
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
RICHMOND, VA
Past
March 25, 2017 - February 16, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
RICHMOND, VA
Past
February 2, 2010 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
RICHMOND, VA
Past
January 28, 2010 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
RICHMOND, VA
Past
February 27, 2004 - February 1, 2010
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
RICHMOND, VA
Past
January 13, 2004 - February 1, 2010
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
RICHMOND, VA
Past
February 5, 2002 - January 23, 2004
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
GLEN ALLEN, VA
Past
September 25, 2001 - January 23, 2004
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
November 5, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
November 5, 1999 - September 28, 2001
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
December 11, 1998 - September 17, 1999
CRESTAR SECURITIES CORPORATION
BD
CRD#: 17464
RICHMOND, VA
Past
October 23, 1997 - December 17, 1998
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
California(8/10/2023)
RR
District of Columbia(8/10/2023)
RR
Florida(8/11/2023)
RR
Georgia(2/4/2025)
RR
Illinois(8/10/2023)
RR
Louisiana(8/10/2023)
RR
Maryland(8/10/2023)
RR
Michigan(8/10/2023)
RR
New York(4/12/2024)
RR
North Carolina(8/10/2023)
IAR
North Carolina(11/22/2024)
RR
Ohio(8/10/2023)
RR
Pennsylvania(8/10/2023)
RR
South Carolina(8/10/2023)
RR
South Dakota(3/17/2025)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Virginia(8/10/2023)
IAR
Virginia(8/10/2023)
RR
Wyoming(5/13/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Midlothian, VA 23113TRUST BUT VERIFY
Monitor Francis Sloan Iii
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
