JS
James A. Sloop
FOUNDERS FINANCIAL ALLIANCE
Raleigh, NC 27615
Some features on this profile are disabled
CRD#: 4749806
JS
Professional summary
James Allen Sloop is a registered financial advisor currently at FOUNDERS FINANCIAL ALLIANCE, LLC located in Raleigh, North Carolina and LPL FINANCIAL LLC located in Raleigh, North Carolina.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. James has worked at 4 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. 2/16/2018 - Founders Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/02/2018 - 10 Hours Per Month/1 Hour During Securities Trading. 2. 12/18/2019 - Founders Financial Alliance, LLC - DBA: (Hybrid) Founders Wealth Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 08/15/2014 - 160 Hours Per Month/7 Hours During Securities Trading - I provide investment advisory services through Founders Financial Alliance, LLC, an independent investment advisor firm. I started this business activity in 12/2019. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 12/18/2019 - Founders Wealth Partners, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 12/01/2018 - 160 Hours Per Month/7 Hours During Securities Trading - I provide investment advisory services through Founders Financial Alliance, LLC, an independent investment advisor firm. I started this business activity in 12/2019. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 6/17/2021 - No Business Name - Not Investment Related - Home Based - Outside/W-2 Employment - Started 01/02/2018 - 20 Hours Per Month/0 Hours During Securities Trading - Content Creator for YouTube, Twitch.tv - create content for online video streaming and video production. Content to be created will focus on electronic entertainment (computer and console gaming, electronics hardware and software news and reviews). 5. 10/12/2021 - Asset Insure, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 08/01/2021 - 5 Hours Per Month/0 Hours During Securities Trading. 6. 02/21/2024 - Yeet Street Discs - Non-Inv Related - NC, USA - Outside/W-2 Employment - Retail Store Ambassador - Started: 2/1/2024 - 8 Hrs/mo; 0 Hr During Trading. 7. 03/19/2024 - Founders Financial Alliance, LLC - Registered Investment Advisor Hybrid - Admin- Investment Related - At Reported Business Location(s) - Start Date 10/08/2014 - 160 Hours Per Month/ 6 Hours During Trading - I provide administrative support to Financial Alliance, LLC, an independent investment advisor firm. I started this business activity 3/2024. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 8) 03/13/2025 - Asset Insure, Inc - Investment Related - Insurance Agency - At Reported Business Location(s) - Start Date:08/01/2021 - 5 Hrs/Mth - 0 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view James Allen Sloop'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®
NoneExperience
Current
May 21, 2015 - Present
FOUNDERS FINANCIAL ALLIANCE, LLC
Office #1: 9212 Falls Of Neuse Rd., Suite 221, Raleigh, NC 27615RIA
CRD#: 173011
Raleigh, NC
Current
August 15, 2014 - Present
LPL FINANCIAL LLC
Office #1: 9212 Falls Of Neuse Rd Ste 221, Raleigh, NC 27615RIA
BD
CRD#: 6413
Raleigh, NC
Past
June 1, 2006 - August 21, 2014
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
GREENSBORO, NC
Past
January 3, 2005 - August 21, 2014
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
GREENSBORO, NC
Past
November 11, 2004 - January 3, 2005
NCF FINANCIAL SERVICES, INC.
BD
CRD#: 120471
DURHAM, NC
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".
FF
FOUNDERS FINANCIAL ALLIANCE, LLC
BRYAN FINANCIAL GROUP | WESTERN COMMUNITY FINANCIAL | THE SOVRAN | OWENS & ASSOCIATES | MJM WEALTH MANAGEMENT, LLC | MITRO WEALTH MANAGEMENT | MAINSAIL TRIANGLE INVESTMENT MANAGEMENT | INNERBANKS WEALTH MANAGEMENT | FOUNDERS WEALTH PARTNERS, LLC | FOUNDERS WEALTH ADVISORS, LLC | FOUNDERS FINANCIAL ALLIANCE, LLC | FOUNDERS FINANCIAL ALLIANCE | FLATFEECIO | FLATFEE CIO | FIDUCIARY ASSET MANAGEMENT | ELITE WEALTH MANAGEMENT, LLC | ELITE WEALTH MANAGEMENT | DU LAC WEALTH SERVICES | DIAMOND & ASSOCIATES WEALTH MANAGEMENT | DEFRANCO FINANCIAL | CORNERSTONE WEALTH ADVISORS | COLONNADE WEALTH MANAGEMENT GROUP, LLC | CECCATO WEALTH PARTNERS, LLC
CRD#: 173011 / SEC#: 801-108700
RIA
Registered Investment Advisory firm - (11/21/2016 Approved)Arizona
Registered Investment Advisory firm - (11/28/2016 Terminated)Arkansas
Registered Investment Advisory firm - (11/28/2016 Terminated)California
Registered Investment Advisory firm - (12/28/2016 Terminated)Connecticut
Registered Investment Advisory firm - (11/29/2016 Terminated)District of Columbia
Registered Investment Advisory firm - (11/28/2016 Terminated)Florida
Registered Investment Advisory firm - (11/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/20/2016 Terminated)Illinois
Registered Investment Advisory firm - (11/21/2016 Terminated)Indiana
Registered Investment Advisory firm - (12/1/2016 Terminated)Iowa
Registered Investment Advisory firm - (11/29/2016 Terminated)Kentucky
Registered Investment Advisory firm - (12/6/2016 Terminated)Louisiana
Registered Investment Advisory firm - (11/29/2016 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2016 Terminated)Michigan
Registered Investment Advisory firm - (12/14/2016 Terminated)Minnesota
Registered Investment Advisory firm - (12/5/2016 Terminated)New Jersey
Registered Investment Advisory firm - (11/29/2016 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2016 Terminated)New York
Registered Investment Advisory firm - (11/28/2016 Terminated)North Carolina
Registered Investment Advisory firm - (11/30/2016 Terminated)Ohio
Registered Investment Advisory firm - (11/28/2016 Terminated)Oregon
Registered Investment Advisory firm - (11/28/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/29/2016 Terminated)South Carolina
Registered Investment Advisory firm - (11/28/2016 Terminated)Tennessee
Registered Investment Advisory firm - (11/28/2016 Terminated)Texas
Registered Investment Advisory firm - (11/28/2016 Terminated)Virginia
Registered Investment Advisory firm - (11/29/2016 Terminated)West Virginia
Registered Investment Advisory firm - (11/28/2016 Terminated)Wisconsin
Registered Investment Advisory firm - (11/29/2016 Terminated)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
Alabama(1/7/2015)
RR
Arizona(4/13/2015)
RR
Arkansas(7/5/2024)
RR
California(8/15/2014)
RR
Colorado(8/15/2014)
RR
Connecticut(7/13/2017)
RR
Delaware(7/17/2024)
RR
Florida(8/15/2014)
RR
Georgia(1/11/2017)
RR
Illinois(4/13/2015)
RR
Indiana(4/13/2015)
RR
Iowa(7/17/2024)
RR
Kansas(2/24/2015)
RR
Kentucky(10/2/2018)
IAR
Louisiana(5/12/2016)
RR
Louisiana(7/17/2024)
RR
Maryland(8/15/2014)
RR
Massachusetts(8/15/2014)
RR
Michigan(1/7/2015)
RR
Minnesota(1/7/2015)
RR
Missouri(9/17/2024)
RR
Montana(7/17/2024)
RR
New Hampshire(9/11/2017)
RR
New Jersey(8/15/2014)
RR
New Mexico(1/7/2015)
RR
New York(8/15/2014)
RR
North Carolina(8/15/2014)
IAR
North Carolina(5/21/2015)
RR
North Dakota(11/6/2024)
RR
Ohio(4/14/2015)
RR
Oklahoma(6/2/2021)
RR
Oregon(1/7/2015)
RR
Pennsylvania(8/15/2014)
RR
South Carolina(8/15/2014)
RR
Tennessee(7/9/2024)
RR
Texas(8/15/2014)
RR
Virginia(8/15/2014)
RR
Washington(4/21/2022)
RR
West Virginia(8/15/2014)
RR
Wisconsin(2/7/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FOUNDERS FINANCIAL ALLIANCE, LLC
BRYAN FINANCIAL GROUP | WESTERN COMMUNITY FINANCIAL | THE SOVRAN | OWENS & ASSOCIATES | MJM WEALTH MANAGEMENT, LLC | MITRO WEALTH MANAGEMENT | MAINSAIL TRIANGLE INVESTMENT MANAGEMENT | INNERBANKS WEALTH MANAGEMENT | FOUNDERS WEALTH PARTNERS, LLC | FOUNDERS WEALTH ADVISORS, LLC | FOUNDERS FINANCIAL ALLIANCE, LLC | FOUNDERS FINANCIAL ALLIANCE | FLATFEECIO | FLATFEE CIO | FIDUCIARY ASSET MANAGEMENT | ELITE WEALTH MANAGEMENT, LLC | ELITE WEALTH MANAGEMENT | DU LAC WEALTH SERVICES | DIAMOND & ASSOCIATES WEALTH MANAGEMENT | DEFRANCO FINANCIAL | CORNERSTONE WEALTH ADVISORS | COLONNADE WEALTH MANAGEMENT GROUP, LLC | CECCATO WEALTH PARTNERS, LLC
CRD#: 173011 / SEC#: 801-108700
RIA
Registered Investment Advisory firm - (11/21/2016 Approved)Arizona
Registered Investment Advisory firm - (11/28/2016 Terminated)Arkansas
Registered Investment Advisory firm - (11/28/2016 Terminated)California
Registered Investment Advisory firm - (12/28/2016 Terminated)Connecticut
Registered Investment Advisory firm - (11/29/2016 Terminated)District of Columbia
Registered Investment Advisory firm - (11/28/2016 Terminated)Florida
Registered Investment Advisory firm - (11/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/20/2016 Terminated)Illinois
Registered Investment Advisory firm - (11/21/2016 Terminated)Indiana
Registered Investment Advisory firm - (12/1/2016 Terminated)Iowa
Registered Investment Advisory firm - (11/29/2016 Terminated)Kentucky
Registered Investment Advisory firm - (12/6/2016 Terminated)Louisiana
Registered Investment Advisory firm - (11/29/2016 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2016 Terminated)Michigan
Registered Investment Advisory firm - (12/14/2016 Terminated)Minnesota
Registered Investment Advisory firm - (12/5/2016 Terminated)New Jersey
Registered Investment Advisory firm - (11/29/2016 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2016 Terminated)New York
Registered Investment Advisory firm - (11/28/2016 Terminated)North Carolina
Registered Investment Advisory firm - (11/30/2016 Terminated)Ohio
Registered Investment Advisory firm - (11/28/2016 Terminated)Oregon
Registered Investment Advisory firm - (11/28/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/29/2016 Terminated)South Carolina
Registered Investment Advisory firm - (11/28/2016 Terminated)Tennessee
Registered Investment Advisory firm - (11/28/2016 Terminated)Texas
Registered Investment Advisory firm - (11/28/2016 Terminated)Virginia
Registered Investment Advisory firm - (11/29/2016 Terminated)West Virginia
Registered Investment Advisory firm - (11/28/2016 Terminated)Wisconsin
Registered Investment Advisory firm - (11/29/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9212 Falls Of Neuse Rd., Suite 221, Raleigh, NC 27615
Mailing Address
Phone number
(855) 860-5940
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (30 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,918 |
| AUM (Assets Under Management) | $ 1,002,097,380 |
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
FOUNDERS FINANCIAL ALLIANCE, LLC
CRD#: 173011Raleigh, NC 27615TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
