John E. Sloan

JOSEPH P. LUCIA & ASSOCIATES

Yorktown Heights, NY 10598

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CRD#: 5442912

Professional summary

John E Sloan, who also goes by John Sloan, is a registered financial advisor currently at JOSEPH P. LUCIA & ASSOCIATES, LLC located in Yorktown Heights, New York.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. John has worked at 3 firms and has passed the Series 63, Series 65 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Sloan

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John E Sloan's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 4, 2021 - Present

JOSEPH P. LUCIA & ASSOCIATES, LLC

Office #1: 3505 Hill Blvd. Suite J, Yorktown Heights, NY 10598

RIA

CRD#: 147625

Yorktown Heights, NY

Past

March 3, 2011 - May 30, 2013

GREAT AMERICAN INVESTORS, INC.

CRD#: 28489

MAHOPAC, NY

Past

February 8, 2008 - November 12, 2008

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

WHITE PLAINS, NY

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".

JOSEPH P. LUCIA & ASSOCIATES, LLC

111 NAME | JOSEPH P. LUCIA & ASSOCIATES, LLC

CRD#: 147625 / SEC#: 801-76540

RIA

Registered Investment Advisory firm - (4/24/2012 Approved)

Connecticut

Registered Investment Advisory firm - (5/16/2012 Terminated)

Florida

Registered Investment Advisory firm - (5/16/2012 Terminated)

New York

Registered Investment Advisory firm - (5/16/2012 Terminated)

Texas

Registered Investment Advisory firm - (5/16/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

New York
(6/4/2021)

IAR

Texas
(10/17/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/11/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/13/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 3/2/2011

Investment Company Products/Variable Contracts Representative Examination

Current Firm

JOSEPH P. LUCIA & ASSOCIATES, LLC

111 NAME | JOSEPH P. LUCIA & ASSOCIATES, LLC

CRD#: 147625 / SEC#: 801-76540

RIA

Registered Investment Advisory firm - (4/24/2012 Approved)

Connecticut

Registered Investment Advisory firm - (5/16/2012 Terminated)

Florida

Registered Investment Advisory firm - (5/16/2012 Terminated)

New York

Registered Investment Advisory firm - (5/16/2012 Terminated)

Texas

Registered Investment Advisory firm - (5/16/2012 Terminated)

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Contact information

Main Address

3505 Hill Blvd. Suite J, Yorktown Heights, NY 10598

Mailing Address

Phone number

(914) 352-6600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JOSEPH P. LUCIA & ASSOCIATES, LLC ADV BROCHURE (3/11/2025)

Regulatory assets under management

Total Number of Accounts	1,818
AUM (Assets Under Management)	$ 303,293,681

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.

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John E. Sloan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John E Sloan's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOSEPH P. LUCIA & ASSOCIATES, LLC

GREAT AMERICAN INVESTORS, INC.

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

JOSEPH P. LUCIA & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/11/2011

Series 65

Date: 2/13/2009

Series 6

Date: 3/2/2011

Current Firm

JOSEPH P. LUCIA & ASSOCIATES, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JOSEPH P. LUCIA & ASSOCIATES, LLC

TRUST BUT VERIFY

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