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Peter Carson Sloan

Guggenheim Investments

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About Peter Carson Sloan

Peter Carson Sloan is an investment advisor representative registered with Guggenheim Investments. Peter has been active in the industry since July 8, 1993. Peter is currently registered in 52 states and the District of Columbia. Peter is also a registered investment advisor representative in Maryland. Peter previously worked at Guggenheim Distributors, LLC and PFS Investments Inc. Peter holds Series 6, 7, 26, 63, and 65 licenses. Peter specializes in portfolio management for investment companies and pooled investment vehicles.

Firm Information

Peter Sloan is currently registered with Guggenheim Investments. Guggenheim Investments is an investment advisor based in NEW YORK, NY. The firm manages approximately $11,255,391,581 in regulatory assets under management for 138 accounts. The firm provides investment advice to investment companies and pooled investment vehicles.
Guggenheim Investments

330 MADISON AVENUE

NEW YORK, NY 10017

$11.26B

Assets Under Management

1

Total Clients

39

Total Financial Advisors

Services Offered

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

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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percentage of assets

A percentage of the total value of assets under management is charged.

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Peter Sloan’s Registration & Firm History

NY

10/26/2010 - Present

Guggenheim Investments (NEW YORK NY)

MD

11/15/2002 - 03/03/2014

GUGGENHEIM DISTRIBUTORS, LLC (ROCKVILLE MD)

GA

07/08/1993 - 11/13/2002

PFS INVESTMENTS INC. (DULUTH GA)

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Licenses & Designations

IA

Issued 01/15/2009

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/02/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/06/1993

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/01/2006

Series 7 - General Securities Representative Examination

BC

Issued 07/02/1993

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Peter Carson Sloan.
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