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Charlotte Ann Sloan

Stonebridge Financial Group

San Rafael, CA

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Current Employers
Stonebridge Financial Group

100 Smith Ranch Road, Suite 112, San Rafael, CA 94903 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-03-03
  • CA RA
    APPROVED
    Since 2026-03-03

Branch Locations

100 Smith Ranch Road, Suite 112, San Rafael, CA 94903 • 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
Axa Advisors, Llc New York NY 09/1999 06/2020
Equitable Advisors, Llc New York NY 09/1999 03/2026
Stonebridge Financial Group, Llc San Rafael CA 03/2026 Present
  • 09/1999 → 06/2020
    Axa Advisors, Llc
    New York, NY
  • 09/1999 → 03/2026
    Equitable Advisors, Llc
    New York, NY
  • 03/2026 → Present
    Stonebridge Financial Group, Llc
    San Rafael, CA
Previous Registrations
  • 2004-08-17 → 2026-03-04
    Equitable Advisors, Llc
    New York, NY
    Roseville, CA
    San Francisco, CA
    Folsom, CA
    Gold River, CA
    Folsom, CA
    Roseville, CA
    Roseville, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-27
S63 Uniform Securities Agent State Law Examination 1998-04-16
  • S65 Uniform Investment Adviser Law Examination
    1999-04-27
  • S63 Uniform Securities Agent State Law Examination
    1998-04-16
Designations
Other Names
  • Charlotte Ann Mara
  • Charlotte A Mara

View on SEC IAPD

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Michael J Heckmann
Alexander Joel Heckmann
Peter Albert Goudy
CATHERINE B CHOI
COLIN Edward Austin WELLS
JEFFREY JAMES WELLS

Other Offices

STIFEL, NICOLAUS & COMPANY, INCORPORATED · SAN RAFAEL, CA
HCM WEALTH · SAN RAFAEL, CA
O'DONNELL FINANCIAL SERVICES, LLC · SAN RAFAEL, CA
MADRONE INVESTMENT ADVISORY, LLC · SAN RAFAEL, CA
FIDUCIARY FINANCIAL GROUP, LLC · SAN RAFAEL, CA
MORGAN STANLEY · SAN RAFAEL, CA
INDEPENDENT FINANCIAL GROUP, LLC · San Rafael, CA
EDWARD JONES · San Rafael, CA

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