Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Sloane is an investment professional with over 40 years of experience in the financial services industry. David's career started at Paine, Webber, Jackson & Curtis Incorporated in 1977 and has spanned multiple firms, including E. F. Hutton & Company Inc, Lehman Brothers Inc, and Citigroup Global Markets Inc. David joined Morgan Stanley in 2009 and has held the Series 63, SIE, PC, Series 5 and Series 7 licenses throughout his career. David's focus includes portfolio management, investment advice, and financial planning. In addition to working with individual clients, David also advises charitable organizations, high-net-worth individuals, and corporations.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
MN
03/26/2020 - Present
Morgan Stanley (Minneapolis MN)
MN
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MINNEAPOLIS MN)
NY
02/15/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
11/19/1979 - 02/15/1988
E. F. HUTTON & COMPANY INC
NA
02/01/1977 - 12/16/1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
BC
Issued 05/16/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/1981
PC - AMEX Put and Call Exam
BC
Issued 10/26/1981
Series 5 - Interest Rate Options Examination
BC
Issued 01/15/1977
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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