David R Slocombe
Professional Summary
David R Slocombe, who also goes by Dave Slocombe, David Russell Slocombe, David Slocombe, is a registered financial advisor currently at SAN GABRIEL CAPITAL located in Cedar Park, Texas. David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. David has worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 3, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dave Slocombe, David Russell Slocombe, David Slocombe
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Videos & Posts
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Contact Information
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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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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
SAN GABRIEL CAPITAL | SAN GABRIEL CAPITAL, LLC
Contact Information
Main Address
1320 Arrow Point Dr. Suite 501, Ofc Tw23, Cedar Park, TX 78613Phone Number
(512) 520-2826# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
56AUM (Assets Under Management)
$22,556,606Similar 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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(1/21/2015)
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 10 — General Securities Sales Supervisor - General Module Examination
Passed Oct 2000About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Oct 2000About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view David R Slocombe's CRS (Customer Relationship Summary).
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