Owen A. 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.
Owen Alton Sloan was a registered financial professional .
Owen is a previously registered financial professional and started their career in finance in 1973. Owen had worked at 15 firms and has passed the Series 63, SIE, Series 7, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2017 - March 15, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
July 29, 2016 - November 1, 2017
CALTON & ASSOCIATES, INC.
November 17, 2008 - December 31, 2009
VSR FINANCIAL SERVICES, INC.
April 30, 2002 - July 29, 2016
VSR FINANCIAL SERVICES, INC.
June 23, 1999 - May 3, 2002
KFS BD, INC.
March 2, 1998 - July 1, 1999
RBC CAPITAL MARKETS, LLC
September 2, 1993 - March 2, 1998
DAIN RAUSCHER INCORPORATED
April 18, 1991 - September 7, 1993
STERN BROTHERS & CO.
September 4, 1990 - March 27, 1991
WELLS FARGO CLEARING SERVICES, LLC
October 20, 1983 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
May 1, 1978 - November 1, 1983
B.C. CHRISTOPHER SECURITIES CO.
September 16, 1977 - January 4, 1985
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
September 5, 1975 - February 27, 1976
BACHE & CO., INCORPORATED
November 8, 1973 - August 3, 1975
BLYTH EASTMAN DILLON & CO. INCORPORATED
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 4/1/1978
AMEX Put and Call ExamSeries 1
Date: 11/2/1973
Registered Representative ExaminationCurrent Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
