Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lorraine? Claim Your ProfileLorraine Sloper is a financial advisor with over 30 years of experience in the industry. Lorraine is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Rhode Island, Connecticut and Texas. She is also a Registered Principal in the state of Rhode Island. Lorraine has a wide range of experience in financial advising, including portfolio management for individuals and businesses, pension consulting, and providing educational seminars.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
RI
07/10/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PROVIDENCE RI)
MA
09/10/2007 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (ATTLEBORO MA)
MA
07/16/2004 - 09/04/2007
INFINEX INVESTMENTS, INC. (BROCKTON MA)
WI
03/04/2003 - 07/29/2004
SII INVESTMENTS, INC. (APPLETON WI)
NY
06/30/1999 - 10/03/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MA
01/02/1996 - 05/20/1999
FIS SECURITIES, INC. (BOSTON MA)
ME
11/07/1994 - 12/31/1995
440 FINANCIAL DISTRIBUTORS, INC. (PORTLAND ME)
AZ
04/24/1992 - 11/08/1993
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
NA
10/15/1987 - 04/24/1992
G. R. PHELPS & CO., INC.
BOTH
Issued 7/19/2007
Series 66 - Uniform Combined State Law Examination
IA
Issued 7/30/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/2/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/6/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/16/1997
Series 7 - General Securities Representative Examination
BC
Issued 10/14/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Lorraine Sloper is the right advisor for you? Invested Better is here to help.
