Dennis James Slott
CFP®Professional Summary
Dennis James Slott, CFP®, who also goes by Dennis J Slott, is a registered financial advisor currently at VESTOR CAPITAL, LLC located in Chicago, Illinois. Dennis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Dennis has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 15, Series 5, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dennis J Slott
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Credentials
Years of Experience
42 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
VESTOR CAPITAL, LLC
Contact Information
Main Address
10 S. Riverside Plaza Suite 1400, Chicago, IL 60606-3840Phone Number
(312) 641-2400# of Employees
27SEC notice filing (22 States and Territories)
Registered to provide investment advisory services in 22 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
3,753AUM (Assets Under Management)
$2,275,902,104Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
VESTOR CAPITAL, LLC
State Registrations and Notice Filings
(2/10/2022)
(9/11/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed Dec 1986Series 5 — Interest Rate Options Examination
Passed Dec 1986Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Dennis James Slott's CRS (Customer Relationship Summary).
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