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Sanford Fred Sloane

Regiment Securities, LLC

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About Sanford Fred Sloane

Sanford Fred Sloane is a registered representative with Regiment Securities, LLC. Sanford has been in the industry since 2004 and has held several positions at firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, RBS Greenwich Capital, and Banc of America Securities LLC. Sanford is licensed to sell securities in 11 states.

Firm Information

Sanford Sloane is currently registered with Regiment Securities, LLC. Regiment Securities, LLC is a Limited Liability Company formed on September 21, 2020. The firm is registered with the SEC and in 31 states.

Not reported

Assets Under Management

Not reported

Total Clients

28

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.

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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Sanford Sloane’s Registration & Firm History

IL

08/16/2021 - Present

Regiment Securities, LLC (Chicago IL)

KS

03/14/2017 - 07/27/2017

MATRIX 360 DISTRIBUTORS, LLC (FAIRWAY KS)

CA

09/22/2016 - 04/14/2017

GRAIL SECURITIES, LLC (SAN FRANCISCO CA)

NY

05/13/2011 - 07/01/2016

MEADOWVALE ADVISORS LLC (NEW YORK NY)

NY

06/06/2005 - 03/08/2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

CT

03/08/2004 - 03/15/2005

RBS GREENWICH CAPITAL (STAMFORD CT)

NY

08/14/2002 - 02/23/2004

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

IL

02/25/1993 - 05/14/1998

FIRST CHICAGO CAPITAL MARKETS, INC. (CHICAGO IL)

NY

10/20/1987 - 06/15/1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/03/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/17/2002

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/16/2002

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 12/01/1993

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

SIE - Securities Industry Essentials Examination

BC

Issued 05/12/2011

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Sanford Fred Sloane.
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