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William Alex Sloan

Sound Financial Management, Inc.

Raleigh, NC

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Current Employers
Sound Financial Management, Inc.

8362 Six Forks Rd. Suite 202, Raleigh, NC 27615 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2018-04-16
  • NC RA
    APPROVED
    Since 2018-04-16

Branch Locations

8362 Six Forks Rd. Suite 202, Raleigh, NC 27615 • 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
Sound Financial Management, Inc. Raleigh NC 04/2018 Present
Sound Financial Management, Inc. Raleigh NC 07/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-04-05
  • S65 Uniform Investment Adviser Law Examination
    2018-04-05
Designations

View on SEC IAPD

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