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Detailed Report
DANIEL LEE SLOAN
DAN SLOAN, DANNY SLOAN
CRD#: 1496530
IA
Previous Investment Adviser
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Previous Broker
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200220042006200820102012201420162018202020222024IAINVISTA ADVISORS (CRD# 282899)2016 - 2024 (8 years)IALPL FINANCIAL LLC (CRD# 6413)2011 - 2017 (5 years)IAMORGAN KEEGAN & COMPANY, INC. (CRD# 4161)2002 - 2011 (9 years)
Disclosure(s)
View By:
8/17/2012
Customer Dispute
Withdrawn
7/23/2012
Customer Dispute
Settled
2/27/2012
Customer Dispute
Settled
2/13/2012
Customer Dispute
Settled
12/28/2011
Customer Dispute
Settled
5/6/2011
Customer Dispute
Settled
12/27/2010
Customer Dispute
Settled
11/15/2010
Customer Dispute
Settled
10/25/2010
Customer Dispute
Settled
10/22/2010
Customer Dispute
Settled
10/18/2010
Customer Dispute
Settled
9/13/2010
Customer Dispute
Settled
9/1/2010
Customer Dispute
Settled
5/18/2010
Customer Dispute
Settled
5/14/2010
Customer Dispute
Settled
5/3/2010
Customer Dispute
Settled
2/16/2010
Customer Dispute
Settled
2/16/2010
Customer Dispute
Settled
2/2/2010
Customer Dispute
Settled
11/12/2009
Customer Dispute
Settled
9/28/2009
Customer Dispute
Settled
8/27/2009
Customer Dispute
Settled
8/18/2009
Customer Dispute
Settled
7/24/2009
Customer Dispute
Denied
7/9/2009
Customer Dispute
Settled
7/7/2009
Customer Dispute
Settled
6/22/2009
Customer Dispute
Settled
6/22/2009
Customer Dispute
Settled
6/22/2009
Customer Dispute
Settled
6/19/2009
Customer Dispute
Settled
6/19/2009
Customer Dispute
Settled
6/19/2009
Customer Dispute
Settled
6/19/2009
Customer Dispute
Settled
6/8/2009
Customer Dispute
Settled
3/24/2008
Customer Dispute
Closed-No Action
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/26/2016 - 11/20/2024 INVISTA ADVISORS (CRD#:282899) MONTGOMERY, AL
IA
 12/12/2011 - 07/25/2017 LPL FINANCIAL LLC (CRD#:6413) MONTGOMERY, AL
IA
 11/08/2002 - 12/16/2011 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) MONTGOMERY, AL
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.