Zachary S. Brodt

SL CAPITAL

Scottsdale, AZ 85255

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CRD#: 5228473

Professional summary

Zachary Stuart Brodt is a registered financial advisor currently at SL CAPITAL located in Scottsdale, Arizona.

Zachary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Zachary has worked at 10 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1.) SL Capital; Investment Related; Scottsdale, AZ; RIA; President/IAR; Start Date 07/2022; Approx. 80 hours with all hours during securities trading hours 2.) Foundations Investment Advisors; Investment Related; Scottsdale, AZ; RIA; IAR; Start Date 04/2022; Approx. 80 hours with all hours during securities trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zachary Stuart Brodt'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®

None

Experience

Current

November 16, 2023 - Present

SL CAPITAL

Office #1: 20707 N Pima Rd Ste 205, Scottsdale, AZ 85255

RIA

CRD#: 328450

Scottsdale, AZ

Past

May 11, 2022 - March 1, 2024

FOUNDATIONS INVESTMENT ADVISORS LLC

RIA

CRD#: 175083

Scottsdale, AZ

Past

April 22, 2016 - April 22, 2022

FFEC WEALTH PARTNERS LLC

RIA

CRD#: 16507

SCOTTSDALE, AZ

Past

April 21, 2016 - September 13, 2018

FFEC WEALTH PARTNERS LLC

CRD#: 16507

SCOTTSDALE, AZ

Past

June 26, 2014 - April 18, 2016

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

SCOTTSDALE, AZ

Past

June 20, 2014 - April 18, 2016

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

SCOTTSDALE, AZ

Past

February 27, 2012 - June 23, 2014

ACCELERATED CAPITAL GROUP

CRD#: 41270

SCOTTSDALE, AZ

Past

June 16, 2010 - July 18, 2014

ASHTON THOMAS PRIVATE WEALTH

RIA

CRD#: 153902

SCOTTSDALE, AZ

Past

June 2, 2008 - March 28, 2011

THE PLANNING GROUP

RIA

CRD#: 113887

SCOTTSDALE, AZ

Past

May 21, 2008 - February 24, 2012

MERIDIAN UNITED CAPITAL, LLC

CRD#: 122924

SCOTTSDALE, AZ

Past

January 31, 2007 - June 17, 2008

G.F. INVESTMENT SERVICES, LLC

CRD#: 132939

SCOTTSDALE, AZ

Past

November 14, 2006 - June 17, 2008

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

SCOTTSDALE, AZ

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".

SL CAPITAL

SL CAPITAL | SLT HOLDINGS LLC

CRD#: 328450 / SEC#: 801-129050

RIA

Registered Investment Advisory firm - (11/13/2023 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

Arizona
(12/6/2023)

IAR

Texas
(11/16/2023)

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

Series 63

Date: 4/11/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/25/2006

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 9/13/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/26/2007

General Securities Representative Examination

Current Firm

SL CAPITAL

SL CAPITAL | SLT HOLDINGS LLC

CRD#: 328450 / SEC#: 801-129050

RIA

Registered Investment Advisory firm - (11/13/2023 Approved)

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Contact information

Main Address

20707 N Pima Rd Ste 205, Scottsdale, AZ 85255

Mailing Address

Phone number

(480) 359-7092

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SL CAPITAL FORM ADV PART 2 BROCHURE (3/17/2025)

Regulatory assets under management

Total Number of Accounts	376
AUM (Assets Under Management)	$ 206,275,670

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.

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Advisor Monitoring

Firm Stability Insights

Zachary S. Brodt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zachary Stuart Brodt's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOUNDATIONS INVESTMENT ADVISORS LLC

FFEC WEALTH PARTNERS LLC

FFEC WEALTH PARTNERS LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

ACCELERATED CAPITAL GROUP

ASHTON THOMAS PRIVATE WEALTH

THE PLANNING GROUP

MERIDIAN UNITED CAPITAL, LLC

G.F. INVESTMENT SERVICES, LLC

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

Primary Firm SEC Registration

SL CAPITAL

State Registrations and Notice Filings

Exams

Series 63

Date: 4/11/2007

Series 65

Date: 8/25/2006

SIE

Date: 9/13/2018

Series 7

Date: 1/26/2007

Current Firm

SL CAPITAL

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SL CAPITAL

TRUST BUT VERIFY

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