Mary Katherine Sloan

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2009 → 11/2024
  Pruco Securities, Llc.
  Tolland, CT
• 11/2009 → Present
  Prudential Insurance Company Of America
  Tolland, CT
• 11/2024 → Present
  Lpl Enterprise, Llc
  Glastonbury, CT

Previous Registrations

• 2010-04-20 → 2024-11-14
  Pruco Securities, Llc.
  Glastonbury, CT
  Hartford, CT
  Hartford, CT
  Hartford, CT
  Tolland, CT
  Somers, CT

Other Businesses

1. 9/25/2025: Sloan, Giguere, Gisleson & Associates; At reported business location(s); DBA for LPL Business (entity for LPL business); Inv. related; start date: 7/22/2015; 160hrs/mo. during trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2010-04-15
• S63 Uniform Securities Agent State Law Examination
  2010-02-03

Other Names

• Mary Kay Joynt
• Mary Sloan