David W. Sluzevich
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.
David W Sluzevich, who also goes by David Wayne Sluzevich, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2018 - July 1, 2019
MARKETRIDERS
March 7, 2018 - June 28, 2019
SOGOTRADE, INC.
March 4, 2017 - February 28, 2018
CUNA BROKERAGE SERVICES, INC.
December 27, 2016 - February 28, 2018
CUNA BROKERAGE SERVICES, INC.
January 4, 2013 - December 13, 2016
OSAIC INSTITUTIONS, INC.
January 13, 2004 - January 2, 2013
FIRST BROKERAGE AMERICA, L.L.C.
May 9, 2002 - January 16, 2004
THE O.N. EQUITY SALES COMPANY
August 23, 2001 - May 29, 2002
METROPOLITAN LIFE INSURANCE COMPANY
August 23, 2001 - May 29, 2002
MSI FINANCIAL SERVICES, INC.
August 28, 2000 - September 4, 2001
EQUITABLE ADVISORS, LLC
November 25, 1997 - March 9, 1998
THE O.N. EQUITY SALES COMPANY
Primary Firm SEC Registration
MARKETRIDERS
CRD#: 147963 / SEC#: 801-69514
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
MARKETRIDERS
CRD#: 147963 / SEC#: 801-69514
Contact information
SEC notice filing (26 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 302 |
| AUM (Assets Under Management) | $ 485,640,168 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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