Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
DAVID AARON SLOTE
DAVID ARRON SLOTE
CRD#: 4836310
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 100 RAILROAD STREET W
Suite 103
MISSOULA, MT 59802
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - 2015 (4 years)2 FIRMS2015 - Present (9 years)BU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)2005 - 2009 (3 years)BMCLAUGHLIN, PIVEN, VOGEL SECUR... (CRD# 7404)2004 - 2005 (<1 year)IAU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)2008 - 2009 (1 year)
License(s)

State Registrations

B
Alabama 1/31/2019
B
New York 4/17/2024
B
Alaska 11/27/2017
B
North Carolina 8/13/2020
B
Arizona 3/31/2017
B
North Dakota 3/24/2017
B
California 9/28/2015
B
Ohio 3/24/2017
B
Colorado 9/28/2015
B
Oklahoma 3/24/2017
B
District of Columbia 2/2/2022
B
Oregon 9/28/2015
B
Florida 9/17/2021
B
South Carolina 9/28/2015
B
Idaho 9/28/2015
B
Texas 9/28/2015
B
Missouri 3/24/2017
IA
Texas 9/28/2015
B
Montana 9/28/2015
B
Vermont 1/6/2023
IA
Montana 9/29/2015
B
Washington 9/28/2015
B
New Jersey 3/24/2017
B
Wyoming 1/11/2018

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 RAILROAD STREET W Suite 103, MISSOULA, MT 59802
Registered with this firm since 9/28/2015
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 RAILROAD STREET W Suite 103, MISSOULA, MT 59802
Registered with this firm since 9/28/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/03/2011 - 10/01/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) MISSOULA, MT
B
 01/03/2011 - 09/30/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) MISSOULA, MT
IA
 09/14/2009 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) MISSOULA, MT
B
 09/14/2009 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) MISSOULA, MT
IA
 01/24/2008 - 09/04/2009 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) MISSOULA, MT
B
 11/30/2005 - 09/04/2009 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) MISSOULA, MT
B
 09/01/2004 - 07/18/2005 MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. (CRD#:7404) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.