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William Sloan Raleigh, North Carolina
William Brown Sloan is a financial advisor employed by Sound Financial Management in Raleigh, North Carolina. With over 25 years of experience and 2 exams passed, William maintains the following registrations:
William is registered with the SEC as an Investment Advisor, which is defined as someone who is paid to provide advice about securities. Investment advisors can also be paid to manage investment portfolios or offer financial planning services. Other terms commonly used for investment advisors include Investment Advisor Representative (IAR) and Registered Investment Advisor (RIA).
Mr. Sloan is also registered with FINRA as a Broker (sometimes referred to as a broker-dealer registered rep. or RR ). Brokers are the sales personnel who work for larger brokerage firms. These firms (also known as broker-dealers ) are in the business of buying and selling securities such as stocks, bonds, mutual funds and other investment-related products. These firms are also registered with FINRA and can engage in securities transactions on behalf of its customers (as broker) or for its own account (as dealer).
Certified Financial Planner (CFP)
As a CFP, Mr. Sloan has taken extensive exams in financial planning, taxes, insurance, estate planning, and retirement. CFP professionals are also required to complete continuing education programs each year to maintain their certification status.
Advisor data current as of May 15, 2017
Fees and Services
Advisory services offered:
- Financial Planning
- Portfolio Management for Individuals
- Securities Portfolio Management
Financial advisors must register with each state in which they conduct business. Below is a record of each state where William Sloan maintains an active registration.
For those interested in managing some of your investments on your own we have more research tools that may be of assistance. Below is a sample list of funds from our Mutual Funds Research Topic. where you can sort and filter mutual funds based on annual performance, ratings, fees and much more. We also publish an up-to-date Online Brokers Research Topic which lists current promotions and a Smart Rating Score for each firm.