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Inactive

John E Sloan

Joseph P. Lucia & Associates, LLC

Yorktown Heights, NY

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Current Employers
Joseph P. Lucia & Associates, Llc

3505 Hill Blvd. Suite J, Yorktown Heights, NY 10598 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-10-17
NY RA APPROVED 2021-06-04
  • TX RA
    APPROVED_RES
    Since 2024-10-17
  • NY RA
    APPROVED
    Since 2021-06-04

Branch Locations

3505 Hill Blvd. Suite J, Yorktown Heights, NY 10598 • 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
Joseph P. Lucia And Associates Yorktown Heights NY 11/2008 Present
  • 11/2008 → Present
    Joseph P. Lucia And Associates
    Yorktown Heights, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2011-03-11
S65 Uniform Investment Adviser Law Examination 2009-02-13
  • S63 Uniform Securities Agent State Law Examination
    2011-03-11
  • S65 Uniform Investment Adviser Law Examination
    2009-02-13
Other Names
  • John Sloan

View on SEC IAPD

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