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William Alex Sloan

Sound Financial Management, Inc.

Raleigh, NC

CRD 6938071

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Employer firm

Sound Financial Management, Inc. CRD 122670

$134M regulatory AUM 4 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

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

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
  • Certified Financial Planner

View on SEC IAPD

Nearby Firms

TOWNSEND ASSET MANAGEMENT CORP.
FORTRESS PRIVATE LEDGER, LLC
OLDE RALEIGH FINANCIAL GROUP

Nearby Investors

ARNE W MORRIS
JAMES MICHAEL TARKENTON
CALEB ROBERT GRIFFITH

Nearby Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC

More in Raleigh, NC

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