James Sloop
James Sloop is a registered investment advisor at Founders Financial Alliance, LLC, based in Raleigh, NC, with 21 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 3,918 clients with $1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Fees are negotiable up to 2%.
Fee Estimator
Location
9212 Falls of Neuse Rd., Suite 221, Raleigh, NC, 27615
Get directionsHistory
Regulatory History
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.
Learn about disclosures →Other Business ActivitiesSells Insurance
James is involved in several business activities, including DBAs for his LPL business and registered investment advisor DBAs (Founders Financial Alliance, LLC and Founders Wealth Partners, LLC), spending full-time hours on these. He also works as a content creator and retail store ambassador, and is involved with Asset Insure, LLC.
Employment History
Current Registrations
Founders Financial Alliance, LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Suntrust Investment Services, INC.
Suntrust Investment Services, INC.Broker
Ncf Financial Services, INC.Broker
State Registrations39 states
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.