Fred Sloan

Current Employers

Captrust

4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2022-02-03
NY	RA	APPROVED	2021-02-03
TX	RA	APPROVED	2019-07-05
NC	RA	APPROVED	2018-11-06

FL RA
APPROVED

Since 2022-02-03
NY RA
APPROVED

Since 2021-02-03
TX RA
APPROVED

Since 2019-07-05
NC RA
APPROVED

Since 2018-11-06

Branch Locations

Jupiter, FL • United States

3 Dakota Drive Suite 310, Lake Success, NY 11042 • United States

4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
First Capital Equities, Ltd.	Great Neck	NY	01/2011	09/2019
Klein & Company	Great Neck	NY	10/2012	03/2019
Excelsior Opportunity Advisors	Great Neck	NY	01/2012	09/2019
Excelsior Opportunity Management	Great Neck	NY	01/2012	09/2019
First Capital Consulting, Inc.	Great Neck	NY	06/2011	09/2019
Excelsior Management, Llc	Great Neck	NY	06/2011	09/2019
Fc Equities, Ltd.	Great Neck	NY	06/2011	09/2019
Fce Group, Inc.	Great Neck	NY	01/2011	09/2019
Capfinancial Partners, Llc (Captrust)	Raleigh	NC	10/2018	Present

01/2011 → 09/2019

First Capital Equities, Ltd.

Great Neck, NY
10/2012 → 03/2019

Klein & Company

Great Neck, NY
01/2012 → 09/2019

Excelsior Opportunity Advisors

Great Neck, NY
01/2012 → 09/2019

Excelsior Opportunity Management

Great Neck, NY
06/2011 → 09/2019

First Capital Consulting, Inc.

Great Neck, NY
06/2011 → 09/2019

Excelsior Management, Llc

Great Neck, NY
06/2011 → 09/2019

Fc Equities, Ltd.

Great Neck, NY
01/2011 → 09/2019

Fce Group, Inc.

Great Neck, NY
10/2018 → Present

Capfinancial Partners, Llc (Captrust)

Raleigh, NC

Other Businesses

1. Name: Sloan Family Foundation Inc. Investment-Related: No Address: Private Residence Nature: Private Foundation Position/Title: member Start: 7.1.2004 Hours/Month: 1 Hours during Market Hours: 0 Duties: oversee selection of charities, contributions, manage assets, maintain records. 2. Name: Sloan Family Partners LLC Investment-Related: No Address: Private Residence Nature: Family Investments Position/Title: member Start: 11.16.1996 Hours/Month: 2 Hours during Market Hours: 1 Duties: making and monitoring passive investments

Designations

Other Names

Fred Phillip Slodkowitz
Fred P. Sloan
Fred P Sloan

View on SEC IAPD