Unclaimed Profile

James Allen Sloop

FOUNDERS FINANCIAL ALLIANCE, LLC·RALEIGH, North Carolina

SIE, Series 6, Series 7, Series 24, Series 52TO, Series 53, Series 63, Series 66Clean record20 years registeredFOUNDERS FINANCIAL ALLIANCE, LLC

9212 FALLS OF NEUSE RD., SUITE 221, RALEIGH, NC 27615CRD# 4749806Firm CRD# 173011

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Allen Sloop · RALEIGH, NC

Registration

CRD #4749806 · FOUNDERS FINANCIAL ALLIANCE, LLC · 20 years registered

Brand Profile

Not yet started

Career History

FOUNDERS FINANCIAL ALLIANCE, LLC

May 2015 – present

LPL FINANCIAL LLC

Aug 2014 – present

SUNTRUST INVESTMENT SERVICES, INC.

Jun 2006 – Aug 2014

GREENSBORO, NC

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 24

Series 52TO

Series 53

Series 63

Series 66

Registration record

First registered · June 1, 2006

Years registered · 20

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

FOUNDERS FINANCIAL ALLIANCE, LLC

CRD 173011 · SEC 801-108700

AUM

$701M

Regulatory assets under management

Employees

3,033 client accounts

Services offered by FOUNDERS FINANCIAL ALLIANCE, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at FOUNDERS FINANCIAL ALLIANCE, LLC →

Introduction

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Frequently Asked Questions

What services does James Allen Sloop offer?

James Allen Sloop specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in RALEIGH, North Carolina for a consultation.

What are James Allen Sloop's credentials?

James Allen Sloop is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Allen Sloop located?

James Allen Sloop is based in RALEIGH, North Carolina, working with FOUNDERS FINANCIAL ALLIANCE, LLC. Their office serves clients in the RALEIGH metropolitan area and surrounding communities.

How does James Allen Sloop charge for services?

James Allen Sloop's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is FOUNDERS FINANCIAL ALLIANCE, LLC?

FOUNDERS FINANCIAL ALLIANCE, LLC has approximately 28 employees and manages $701M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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