About us

Ms. Sloan is the President of Jacqueline L. Sloan, Inc. Her firm provides financial and operational services (FINOP) to broker dealers. Ms. Sloan has been in the securities industry since 1982 and took the NASD Series 27 exam for Financial and Operation Principals in 1996. She has received her BSC and MBA, both in Finance, from DePaul University. Her expertise and focus is serving as the Financial and Operations Principal to proprietary trading broker dealer firms. The functions of this position are to accurately maintain the firm's books and records, compile and transmit regulatory reports (FOCUS reports), and compute net capital computations on a timely basis to insure compliance with the SEC Net Capital Rule.

Ms. Sloan's staff consists of 4 people. One is also a Series 27 Financial and Operations Principal. Because of the timeliness of computing daily net capital requirements, the Sloan firm employs three individuals to complete this task before the beginning of the trading day. This responsibility is headed by a former ABN AMRO floor manager who is knowledgeable in the balancing and trade checking functions of traders and clearing firms. This manager supervises two assistants.

Staff Includes: