Who We Serve
Jacqueline L. Sloan, Inc. serves the non-customer broker dealer (BD) community as well as the proprietary trading community. Our firm does not represent customer funds or securities.
How We Serve Our Clients
In an age of heighrned regulatory oversight, Jacqueline L. Sloan, Inc. meets our client's need for the supply of important regulatory and financial reporting requirements
These include:
- Acting as the fully licensed Financial and Operation Principal (Series 27)
- Working as financial liaison with regulators during the FINRA application process as well as after membership approval is obtained.
- Appropriate participation in a client's initial audit as a new member.
- Guidance and support during financial related inquiries from FINRA.
- The preparation and submission of accurate financial information and FOCUS reports to FINRA and the SEC, monthly or quarterly as required.
- Provide the Annual Schedule 1 Filing.
- Prepare Quarterly SSOI.
- Prepare Quarterly Form Custody
- Supplying the information required to file a SIPC Annual or Semi-Annual Report in a timely manner.
- Furnish the client with a daily and monthly Net Capital Computation as required.
- Assessment of monthly financials and providing advice concerning any essential modifications.