AS
Ann K. Slechta
GLADSTONE WEALTH PARTNERS
Carroll, IA 51401
Some features on this profile are disabled
CRD#: 5374100
AS
Professional summary
Ann Kay Slechta, who also goes by Ann Kay Slater, is a registered financial advisor currently at GLADSTONE WEALTH PARTNERS located in Carroll, Iowa and LPL FINANCIAL LLC located in Carroll, Iowa.
Ann is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Ann has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ann Kay Slater
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) 07/2015 - Real Estate Rental - CRP LAND - 0% - INVESTMENT RELATED - CARROLL, IA 2) 08/2012 - NON-VARIABLE INSURANCE - SLATE WEALTH MANAGEMENT - 10% - INVESTMENT RELATED - CARROLL, IA 51401 3) 08/2019 - DBA for LPL Business (entity for LPL business) - Slate Wealth Management - 100% - INVESTMENT RELATED - CARROLL, IA 51401 4) 08/2012 - OTHER-FARM - ANN & DAVID SLECHTA FARMS - 1% - NOT INVESTMENT RELATED - CARROLL, IA 51401 5) 12/9/2021 - Slate Back 40, LLC - Investment Related - 710 Simon Avenue Carroll, IA 51401 - Real Estate Rental - Start Date: 12/1/2021 - 5 Hours Per Month/0 Hours During Securities Trading - Property management company. 6) 09/14/2022 - Slate Insurance Agency - Investment Related - At Reported Business Location(s) - Insurance Agency - Owner, Insurance Agent - Start Date - 08/01/2022 - 15 Hours Per Month/10 Hours During Securities Trading 7) 02/15/2024 -Silverleaf Wealth Management - INV REL - At Reported Business Location(s) - Start Date 02/01/2024 - 160 hours a month/ 4 hours during securities trading. 8) 02/22/2024 - Gladstone Intitutional Advisory - Registered Investment Advisor Hybrid - Investment Related - At Reported Business Location(s) - Start Date 02/01/2024 - 40 Hours Per Month/ 5 Hours During Trading - I provide investment advisory services through Gladstone Institutional Advisory, an independent investment advisor firm. I started this business activity in 2/2024. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 9) 04/12/2024 - Slate Wealth Management, LLC - Non-Inv Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started: 3/1/2019 - 2 Hrs/Mo; 1 Hr During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Ann Kay Slechta's 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®
NoneExperience
Current
February 14, 2024 - Present
GLADSTONE WEALTH PARTNERS
Office #1: 710 Simon Ave., Carroll, IA 51401RIA
CRD#: 250787
Carroll, IA
Current
August 29, 2019 - Present
LPL FINANCIAL LLC
Office #1: 710 Simon Avenue, Carroll, IA 51401Office #2: 110 N 2nd St, Cherokee, IA 51012RIA
BD
CRD#: 6413
Carroll, IA
Past
August 29, 2019 - May 6, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
JEFFERSON, IA
Past
September 7, 2011 - September 6, 2019
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
JEFFERSON, IA
Past
August 9, 2011 - September 6, 2019
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
JEFFERSON, IA
Past
January 14, 2009 - August 11, 2011
MONEY CONCEPTS CAPITAL CORP
RIA
CRD#: 12963
WESTSIDE, IA
Past
January 14, 2009 - August 11, 2011
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
WESTSIDE, IA
Past
November 19, 2007 - January 13, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SIOUX CITY, IA
Past
August 23, 2007 - January 13, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SIOUX CITY, IA
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".
GW
GLADSTONE WEALTH PARTNERS
AFFINITY WEALTH MANAGEMENT GROUP | WHITE OAK WEALTH PARTNERS | WEALTH FORMAT SYSTEMS, LLC. | TRUE VISION FINANCIAL ADVISORS | THE TEMPLAR FINANCIAL GROUP, LLC | THE CHOICE GROUP | SYMMETRY WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISOR GROUP | SSNA WEALTH | SILVERLEAF WEALTH MANAGEMENT | PUZZLE WEALTH SOLUTIONS, LLC | PUZZLE WEALTH SOLUTIONS LLC | PUZZLE WEALTH PARTNERS | PUZZLE ICS | PRIVATE WEALTH GROUP | PLATINUM WEALTH ADVISORS | PINNACLE WEALTH MANAGEMENT | PERSPECTIVE WEALTH PLANNING | PEAK WEALTH PARTNERS | PALMIERI FINANCIAL GROUP | MCKEE WEALTH MANAGEMENT INC. | MCKEE FINANCIAL, LLC | MCKEE FINANCIAL RESOURCES, INC | MCKEE FINANCIAL RESOURCES INC. | MASTRODIMOS WEALTH GROUP | LIMESTONE FINANCIAL GROUP | LAU WEALTH MANAGEMENT | KEY FINANCIAL ADVISORS, LLC | JOCKEY HOLLOW FINANCIAL SERVICES, LLC | IRUS WEALTH MANAGEMENT | INVESTMENT BY PLANNERS | INTEGRITY WEALTH | INTEGRITY POINT ADVISORS | HOFFMAN FINANCIAL STRATEGIES | HENRY AND HANNAY WEALTH MANAGEMENT | HEARTLAND RETIREMENT GROUP WEALTH MANAGEMENT | HEALTH MEETS WEALTH ADVISORS | GREEN RIDGE WEALTH PLANNING | GLADSTONE WEALTH PARTNERS | GLADSTONE WEALTH GROUP | GLADSTONE INSTITUTIONAL ADVISORY LLC | GLADSTONE CAPITAL MANAGEMENT | FREEDOM INVESTMENT MANAGEMENT GROUP | FOCUSED WEALTH, LLC. | CARBON WEALTH MANAGEMENT INC. | BLUESTONE WEALTH ADVISORS | AVANCE PRIVATE WEALTH MANAGEMENT | AURORA WEALTH ADVISORS | AS WEALTH MANAGEMENT LLC | AFFLUENT WEALTH CONSULTING LLC
CRD#: 250787 / SEC#: 801-101532
RIA
Registered Investment Advisory firm - (7/28/2015 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/9/2019)
RR
Arizona(1/3/2024)
RR
Arkansas(8/29/2019)
RR
California(10/20/2023)
RR
Colorado(4/2/2025)
RR
Florida(5/10/2024)
RR
Georgia(8/29/2019)
RR
Hawaii(8/29/2019)
RR
Illinois(1/23/2024)
RR
Iowa(8/29/2019)
IAR
Iowa(2/14/2024)
RR
Kansas(6/7/2023)
RR
Michigan(12/11/2024)
RR
Minnesota(10/16/2024)
RR
Missouri(10/20/2023)
RR
Nebraska(2/13/2023)
RR
Nevada(2/8/2021)
RR
North Carolina(7/10/2024)
RR
Oregon(1/23/2024)
RR
South Dakota(3/18/2022)
RR
Texas(8/29/2019)
RR
Virginia(6/30/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GW
GLADSTONE WEALTH PARTNERS
AFFINITY WEALTH MANAGEMENT GROUP | WHITE OAK WEALTH PARTNERS | WEALTH FORMAT SYSTEMS, LLC. | TRUE VISION FINANCIAL ADVISORS | THE TEMPLAR FINANCIAL GROUP, LLC | THE CHOICE GROUP | SYMMETRY WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISOR GROUP | SSNA WEALTH | SILVERLEAF WEALTH MANAGEMENT | PUZZLE WEALTH SOLUTIONS, LLC | PUZZLE WEALTH SOLUTIONS LLC | PUZZLE WEALTH PARTNERS | PUZZLE ICS | PRIVATE WEALTH GROUP | PLATINUM WEALTH ADVISORS | PINNACLE WEALTH MANAGEMENT | PERSPECTIVE WEALTH PLANNING | PEAK WEALTH PARTNERS | PALMIERI FINANCIAL GROUP | MCKEE WEALTH MANAGEMENT INC. | MCKEE FINANCIAL, LLC | MCKEE FINANCIAL RESOURCES, INC | MCKEE FINANCIAL RESOURCES INC. | MASTRODIMOS WEALTH GROUP | LIMESTONE FINANCIAL GROUP | LAU WEALTH MANAGEMENT | KEY FINANCIAL ADVISORS, LLC | JOCKEY HOLLOW FINANCIAL SERVICES, LLC | IRUS WEALTH MANAGEMENT | INVESTMENT BY PLANNERS | INTEGRITY WEALTH | INTEGRITY POINT ADVISORS | HOFFMAN FINANCIAL STRATEGIES | HENRY AND HANNAY WEALTH MANAGEMENT | HEARTLAND RETIREMENT GROUP WEALTH MANAGEMENT | HEALTH MEETS WEALTH ADVISORS | GREEN RIDGE WEALTH PLANNING | GLADSTONE WEALTH PARTNERS | GLADSTONE WEALTH GROUP | GLADSTONE INSTITUTIONAL ADVISORY LLC | GLADSTONE CAPITAL MANAGEMENT | FREEDOM INVESTMENT MANAGEMENT GROUP | FOCUSED WEALTH, LLC. | CARBON WEALTH MANAGEMENT INC. | BLUESTONE WEALTH ADVISORS | AVANCE PRIVATE WEALTH MANAGEMENT | AURORA WEALTH ADVISORS | AS WEALTH MANAGEMENT LLC | AFFLUENT WEALTH CONSULTING LLC
CRD#: 250787 / SEC#: 801-101532
RIA
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Contact information
Main Address
2000 Pga Blvd. Suite 4440, Palm Beach Gardens, FL 33408
Mailing Address
1545 Us-206 Suite 300, Bedminster, NJ 07921
Phone number
(908) 719-1313
Established
Firm type
Fiscal year end
# of Employees
163
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17,810 |
| AUM (Assets Under Management) | $ 4,943,971,956 |
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.
