Best Investors Account Sign in

Karen A Sloan

Wells Fargo Clearing Services, LLC

St. Louis, MO

Claim This Profile
Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2018-04-10
  • MO RA
    APPROVED
    Since 2018-04-10

Branch Locations

One N Jefferson Ave, St. Louis, MO 63103 • 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
OrganizationCityStateFromTo
Stifel Nicolaus & Co Inc St. Louis MO 07/2014 10/2017
Wells Fargo Clearing Services St. Louis MO 04/2018 Present
Unemployed Ballwin MO 11/2017 03/2018
  • 07/2014 → 10/2017
    Stifel Nicolaus & Co Inc
    St. Louis, MO
  • 04/2018 → Present
    Wells Fargo Clearing Services
    St. Louis, MO
  • 11/2017 → 03/2018
    Unemployed
    Ballwin, MO
Previous Registrations
  • 2014-07-22 → 2017-11-17
    Stifel, Nicolaus & Company, Incorporated
    St. Louis, MO
  • 2007-01-01 → 2014-07-24
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 2006-03-14 → 2007-01-01
    Ffp Advisory Services Inc
    Chesterfield, MO
  • 2005-12-06 → 2006-03-13
    Msi Financial Services, Inc.
    Springfield, MA
    Springfield, MA
    St. Louis, MO
  • 2005-06-17 → 2005-12-31
    Metlife Investment Fund Services Llc
    Milwaukee, WI
Other Businesses

JOHN HANCOCK TRAIL COMMISSIONS, INV RELATED, BALLWIN, MO, START: 4/12/2018, 0 HOURS, NO DUTIES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-06-16
S63 Uniform Securities Agent State Law Examination 1999-10-04
  • S65 Uniform Investment Adviser Law Examination
    2005-06-16
  • S63 Uniform Securities Agent State Law Examination
    1999-10-04
Other Names
  • Karen A Sloan
  • Karen Sloan

View on SEC IAPD

Other Firms

UNIVERSAL FINANCIAL ADVISORS, LLC
EDWARD JONES
STATE FARM INVESTMENT MANAGEMENT CORP.
VESTGEN ADVISORS, LLC
FORTIFY WEALTH, INC.
CETERA INVESTMENT ADVISERS LLC
LPL FINANCIAL LLC
CREATIVEONE WEALTH, LLC

Other Investors

BRIAN CHRISTOPHER LOCK
WILLIAM BERNARD ALBAIR
Stephanie Louise Longanecker
GREGORY JOHN WOZNIAK
Grant Hunter Richars
ANTHONY DWAYNE RICH
Anna Marie Meurer
John Michael Laaker

Other Offices

UNIVERSAL FINANCIAL ADVISORS, LLC · ST. LOUIS, MO
EDWARD JONES · KIRKWOOD, MO
EDWARD JONES · KIRKWOOD, MO
EDWARD JONES · KIRKWOOD, MO
EDWARD JONES · Kirkwood, MO
STATE FARM INVESTMENT MANAGEMENT CORP. · Kirkwood, MO
VESTGEN ADVISORS, LLC · Kirkwood, MO
VESTGEN ADVISORS, LLC · Kirkwood, MO

More in St. Louis, MO

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor