Joshua C. Harter

SL CAPITAL

Scottsdale, AZ 85255

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CRD#: 6761217

Professional summary

Joshua Caleb Harter is a registered financial advisor currently at SL CAPITAL located in Scottsdale, Arizona.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Joshua has worked at 3 firms and has passed the Series 65 exam.

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; IAR; Start Date 11/2023; Approx. 80 hours with all hours during securities trading hours 2.) Foundations Investment Advisors; Investment Related; Phoenix, 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 Joshua Caleb Harter'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

December 6, 2023 - Present

SL CAPITAL

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

RIA

CRD#: 328450

Scottsdale, AZ

Past

April 27, 2022 - March 1, 2024

FOUNDATIONS INVESTMENT ADVISORS LLC

RIA

CRD#: 175083

Cave Creek, AZ

Past

April 16, 2018 - April 25, 2022

FFEC WEALTH PARTNERS LLC

RIA

CRD#: 16507

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)

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: 3/16/2018

Uniform Investment Adviser Law 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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Joshua C. Harter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Caleb Harter's CRS (Customer Relationship Summary).

Certified licenses

Experience

SL CAPITAL

FOUNDATIONS INVESTMENT ADVISORS LLC

FFEC WEALTH PARTNERS LLC

Primary Firm SEC Registration

SL CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 3/16/2018

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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