Janis S. Sleeter

RUGGAARD & ASSOCIATES

OAK BROOK, IL 60523

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CRD#: 2546249

Professional summary

Janis Sue Sleeter, AIF®, CFP®, who also goes by Jan Sleeter, Janis Sue Slepicka, is a registered financial advisor currently at RUGGAARD & ASSOCIATES located in Oak Brook, Illinois.

Janis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Janis has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

What are your service offerings?

Estate Planning

Comprehensive Financial Planni...

Investment Planning

Retirement Planning

Are you a "fiduciary"?

Yes

Aliases

Jan Sleeter | Janis Sue Slepicka

Other business activities

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.

SLEETER FARMS NEBRASKA, INC not investment-related private residence in Downers Grove, IL farming Treasurer start date 6/1/2008 less than 1 hour per month 0 hours during trading hours bank account and general business review SLEETER FAMILY FARM CORPORATION not investment-related private residence in Downers Grove, IL farming Director start date 4/10/1991 less than 1 hour per month 0 hours during trading hours no duties HEARTLAND CAPITAL RESOURCES, INC. not investment-related 1200 Harger Road, Ste 222, Oak Brook, IL 60523 business entity for tax/investment purposes only Director, Secretary, Treasurer start date 10/1/1992 about 2 hours per month 0 hours during trading hours prepare books, review bank accounts and general business, miscellaneous administration

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Janis Sue Sleeter's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

January 3, 2023 - Present

RUGGAARD & ASSOCIATES

Office #1: 1200 Harger Road Ste 222, Oak Brook, IL 60523

RIA

CRD#: 107489

OAK BROOK, IL

Past

October 1, 2018 - December 31, 2022

LPL FINANCIAL LLC

CRD#: 6413

OAK BROOK, IL

Past

April 12, 2007 - December 31, 2022

TOTAL CLARITY WEALTH MANAGEMENT, INC

RIA

CRD#: 142728

OAK BROOK, IL

Past

October 19, 1998 - October 2, 2018

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

OAK BROOK, IL

Past

July 21, 1998 - October 2, 2018

CETERA WEALTH SERVICES, LLC

CRD#: 13572

OAK BROOK, IL

Past

October 27, 1994 - July 28, 1998

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RUGGAARD & ASSOCIATES

RUGGAARD & ASSOCIATES | RUGGAARD & ASSOCIATES, LLC | RUGGAARD & ASSOCIATES, INC. | RUGGAARD & ASSOCIATES INC

CRD#: 107489 / SEC#: 801-43618

RIA

Registered Investment Advisory firm - (3/31/1993 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(1/3/2023)

IAR

Texas
(1/3/2023)

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

State Security Law Exam

IAR

Series 65

Date: 9/22/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/26/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/9/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/26/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/1/2003

General Securities Principal Examination

Current Firm

RUGGAARD & ASSOCIATES

RUGGAARD & ASSOCIATES | RUGGAARD & ASSOCIATES, LLC | RUGGAARD & ASSOCIATES, INC. | RUGGAARD & ASSOCIATES INC

CRD#: 107489 / SEC#: 801-43618

RIA

Registered Investment Advisory firm - (3/31/1993 Approved)

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Contact information

Main Address

110 W Streetsboro St. Suite 1a, Hudson, OH 44236

Mailing Address

Phone number

(330) 487-5888

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-03-25 RUGGAARD & ASSOCIATES FORM ADV PART 2A (3/25/2025)

Regulatory assets under management

Total Number of Accounts	945
AUM (Assets Under Management)	$ 346,919,733

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Janis S. Sleeter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Janis Sue Sleeter's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

TOTAL CLARITY WEALTH MANAGEMENT, INC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

PFS INVESTMENTS INC.

Primary Firm SEC Registration

RUGGAARD & ASSOCIATES

State Registrations and Notice Filings

Exams

Series 65

Date: 9/22/1998

Series 63

Date: 10/26/1994

SIE

Date: 10/1/2018

Series 7

Date: 9/9/1998

Series 6

Date: 10/26/1994

Series 24

Date: 7/1/2003

Current Firm

RUGGAARD & ASSOCIATES

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RUGGAARD & ASSOCIATES

TRUST BUT VERIFY

Contact information

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