Nellmarie Sloane
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.
Nellmarie Sloane was a registered financial professional .
Nellmarie is a previously registered financial professional and started their career in finance in 2005. Nellmarie had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2017 - February 16, 2018
LICCAR SECURITIES, LLC
October 17, 2011 - June 30, 2017
UHLMANN PRICE SECURITIES, LLC
May 30, 2005 - February 3, 2011
MF GLOBAL INC.
State Registrations and Notice Filings
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Exams
Current Firm
LICCAR SECURITIES, LLC
CRD#: 151034 / SEC#: , 8-68329
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
