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Frank Oliver Sloan

Ep Wealth Advisors

Dallas, TX

Torrance, CA

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Current Employers
Ep Wealth Advisors

21535 Hawthorne Blvd Suite 400, Torrance, CA 90503 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-07-17
  • TX RA
    APPROVED
    Since 2024-07-17

Branch Locations

100 Crescent Court, Suite 1130, Dallas, TX 75201 • United States

21535 Hawthorne Blvd Suite 400, Torrance, CA 90503 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Sloan Investment Management, L.L.C. Dallas TX 02/2007 06/2024
Ep Wealth Advisors, Llc Dallas TX 06/2024 Present
  • 02/2007 → 06/2024
    Sloan Investment Management, L.L.C.
    Dallas, TX
  • 06/2024 → Present
    Ep Wealth Advisors, Llc
    Dallas, TX
Previous Registrations
  • 2022-11-04 → 2024-07-31
    Sloan Investment Management, L.L.C.
    Dallas, TX
  • 2007-03-02 → 2021-12-31
    Sloan Investment Management, L.L.C.
    Dallas, TX
  • 2002-12-09 → 2007-04-02
    Stephens
    Dallas, TX
    Dallas, TX
  • 2000-08-14 → 2002-12-17
    Ubs Financial Services Inc.
    Dallas, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-04-30
S63 Uniform Securities Agent State Law Examination 1979-06-27
  • S65 Uniform Investment Adviser Law Examination
    1993-04-30
  • S63 Uniform Securities Agent State Law Examination
    1979-06-27

View on SEC IAPD

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