Peter Sloan

32 Years of Experience

New York, NY

Broker

Peter Sloan is a registered investment advisor at Guggenheim Funds Distributors, LLC, based in New York, NY, with 32 years of industry experience. Peter operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 1 clients with $6.9B in assets under management.

Guggenheim Funds Distributors, LLC

Compensation

Fee-Only (% of Portfolio)

Firm Size

42 advisors

IM Fee

Planning only

Assets Under Management

$6.9B

Location

330 Madison Avenue, 10th Floor, New York, NY, 10017

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History

Regulatory History

Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Other Business Activities

Peter owns rental investment properties, including one through Glidersleeve Holdings LLC. These activities require minimal time each month.

Employment History

Current Registrations

Guggenheim Funds Distributors, LLC

March 2014 - Present · 12 yrs 2 mos

Guggenheim Funds Distributors, LLCBroker

March 2014 - Present · 12 yrs 2 mos

Guggenheim Investments

October 2010 - Present · 15 yrs 7 mos

Previous Registrations

Rydex Advisory Services, LLC

January 2009 - October 2010 · 1 yr 9 mos

Guggenheim Distributors, LLCBroker

November 2002 - March 2014 · 11 yrs 4 mos

PFS Investments INC.Broker

July 1993 - November 2002 · 9 yrs 4 mos

State Registrations52 states

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AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams

No exam information available for this advisor.

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