Abbey 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.
Abbey Sloan, who also goes by Abbey E Sloan, was a registered financial professional .
Abbey is a previously registered financial professional and started their career in finance in 2008. Abbey had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2021 - June 22, 2023
ALLY INVEST ADVISORS
April 5, 2021 - June 22, 2023
ALLY INVEST SECURITIES LLC
November 22, 2017 - August 6, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 18, 2017 - August 6, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 13, 2008 - August 3, 2017
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
ALLY INVEST ADVISORS
CRD#: 170301 / SEC#: 801-79305
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
Current Firm
ALLY INVEST ADVISORS
CRD#: 170301 / SEC#: 801-79305
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 76,058 |
| AUM (Assets Under Management) | $ 1,389,572,606 |
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.
