Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Morrison Sloan has been in the financial services industry since July 3, 2003. Currently, James is registered with Regions Securities LLC and works in the Nashville office. Previously, James was registered with SunTrust Robinson Humphrey, Inc. in Atlanta, GA. James has a Series 7, Series 63, Series 79TO and a SIE. James is currently registered in Arkansas, Iowa, Kansas, Kentucky, Louisiana, Missouri, and Tennessee.
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.
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.
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2
TN
09/01/2015 - Present
Regions Securities LLC (NASHVILLE TN)
GA
03/03/2003 - 04/30/2015
SUNTRUST ROBINSON HUMPHREY, INC. (ATLANTA GA)
BC
Issued 09/25/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/27/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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