Unclaimed
Stephen Carson Sloan has been in the financial services industry since 1994. Currently, Stephen Carson Sloan is registered with Wells Fargo Clearing Services, LLC and is located in Asheville, NC. Stephen Carson Sloan has a Series 7, 9, 10, 63, and 65 license. Stephen Carson Sloan is also registered as an Investment Advisor Representative in North Carolina and Texas. Previously, Stephen Carson Sloan was employed with Wachovia Securities, Inc. in Charlotte, NC and Wachovia Brokerage Service in Winston Salem, NC. Stephen Carson Sloan holds licenses in several states and has experience in various financial services areas.
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.
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.
Investment consulting services to institutional clients
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
NC
11/08/2024 - Present
Wells Fargo Clearing Services, LLC (ASHEVILLE NC)
NC
02/14/2000 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NC
05/11/1994 - 02/14/2000
WACHOVIA BROKERAGE SERVICE (WINSTON SALEM NC)
IA
Issued 09/03/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/02/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/14/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/13/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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