Clifford L. Slaten
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Clifford Leroy Slaten, who also goes by Cliff Leroy Slaten, was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 1991. Clifford had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2011 - March 15, 2022
SLATEN WEALTH MANAGEMENT
April 7, 2006 - October 16, 2017
CROWN CAPITAL SECURITIES, L.P.
April 7, 2006 - October 16, 2017
CROWN CAPITAL SECURITIES, L.P.
April 24, 2000 - April 10, 2006
NATIONAL PLANNING CORPORATION
June 21, 1999 - April 10, 2006
NATIONAL PLANNING CORPORATION
January 28, 1997 - July 1, 1999
OSAIC WEALTH, INC.
October 30, 1995 - January 16, 1997
WMA SECURITIES, INC.
May 9, 1994 - October 27, 1995
OSAIC WEALTH, INC.
October 25, 1991 - May 9, 1994
TRIPLE CHECK FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SLATEN WEALTH MANAGEMENT
CRD#: 154550 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 214 |
| AUM (Assets Under Management) | $ 28,458,000 |
Red Flags
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.
