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DS

David A. Sleeter

RUGGAARD & ASSOCIATES
Chicago, IL 60607
Some features on this profile are disabled
CRD#: 6196325
DS

Professional summary

David Adam Sleeter, AIF®, CFA, who also goes by Dave Sleeter, is a registered financial advisor currently at RUGGAARD & ASSOCIATES located in Chicago, Illinois.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. David has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Dave Sleeter

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 not investment-related Kimble County, NE farming Secretary start date 10/1/2018 4 hours per month 0 hours during trading hours take meeting notes SLEETER FAMILY FARM CORPORATION not investment-related Golding Rd, Mount Carroll, IL farming Director start date 10/1/2018 2 hours per month 0 hours during trading hours Director at annual meetings SLEETER-DRUMMOND LLC not investment-related Drummond Island, MI real estate rental Member start date 7/15/2020 2 hours per month 0 hours during trading hours co-own and operate a rental vacation home on Drummond Island, MI SANDY BAY, LLC not investment-related private residence in Chicago, IL single member LLC for tax/investment purposes only Managing Member start date 9/2/2020 4 hours per month 0 hours during trading hours Managing Member at meetings, sign off on annual reports, etc.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Adam 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

CFA

Chartered Financial Analyst

Experience

Current

January 3, 2023 - Present

RUGGAARD & ASSOCIATES

Office #1: 171 N Aberdeen St Suite 400, Chicago, IL 60607
RIA
CRD#: 107489
Chicago, IL
Past

October 1, 2018 - December 22, 2020

LPL FINANCIAL LLC

BD
CRD#: 6413
OAK BROOK, IL
Past

October 31, 2013 - December 31, 2022

TOTAL CLARITY WEALTH MANAGEMENT, INC

RIA
CRD#: 142728
OAK BROOK, IL
Past

October 17, 2013 - May 2, 2016

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
OAK BROOK, IL
Past

August 8, 2013 - October 2, 2018

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
OAK BROOK, IL

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".
R&
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
Ohio
(12/7/2023)
IAR
Texas
(1/3/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/10/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/8/2013
General Securities Representative Examination

Current Firm

R&
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
11

SEC notice filing (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts945
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.

Company Information

RUGGAARD & ASSOCIATES

CRD#: 107489Chicago, IL 60607

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