Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Sloan is a financial professional with over 40 years of experience in the financial services industry. Steven is currently registered with Tcfg Investment Advisors, LLC, and has held previous registrations with Crown Capital Securities, L.P., Western International Securities, Inc., United Planners' Financial Services of America A Limited Partner, Associated Securities Corp. and Fortis Investors, Inc. Steven holds FINRA Series 6, 7, 24 and 63 licenses and has passed the SIE and Series 65 exams. Steven also has a license to sell life, disability, and long-term care insurance.
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.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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CA
11/27/2024 - Present
Tcfg Investment Advisors, LLC (LAGUNA NIGUEL CA)
CA
05/31/2019 - 05/06/2024
CROWN CAPITAL SECURITIES, L.P. (WOODLAND HILLS CA)
CA
02/15/2019 - 05/13/2019
WESTERN INTERNATIONAL SECURITIES, INC. (Woodland Hills CA)
CA
08/24/2009 - 12/31/2018
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (WOODLAND HILLS CA)
CA
05/20/1999 - 08/25/2009
ASSOCIATED SECURITIES CORP. (WOODLAND HILLS CA)
MN
12/15/1982 - 05/20/1999
FORTIS INVESTORS, INC. (OAKDALE MN)
IA
Issued 12/17/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/28/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/18/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/05/2002
Series 7 - General Securities Representative Examination
BC
Issued 12/14/1982
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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