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David Aaron Slote

Ubs Financial Services Inc.

Missoula, MT

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MT RA APPROVED 2015-09-29
TX RA APPROVED 2015-09-28
  • MT RA
    APPROVED
    Since 2015-09-29
  • TX RA
    APPROVED
    Since 2015-09-28

Branch Locations

100 Railroad Street W Suite 103, Missoula, MT 59802 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Missoula MT 09/2015 Present
Previous Registrations
  • 2011-01-03 → 2015-10-01
    Wells Fargo Clearing Services, Llc
    Missoula, MT
    Superior, MT
    Missoula, MT
    Billings, MT
  • 2009-09-14 → 2011-01-03
    Wells Fargo Investments, Llc
    Missoula, MT
    Superior, MT
  • 2008-01-24 → 2009-09-04
    U.S. Bancorp Investments, Inc.
    Chester, MT
    Great Falls, MT
    Fort Benton, MT
    Hamilton, MT
    Great Falls, MT
    Butte, MT
    Great Falls, MT
    Great Falls, MT
    Shelby, MT
    Havre, MT
    Helena, MT
    Kalispell, MT
    Missoula, MT
    Missoula, MT
    Missoula, MT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-01-21
S63 Uniform Securities Agent State Law Examination 2004-08-31
  • S66 Uniform Combined State Law Examination
    2008-01-21
  • S63 Uniform Securities Agent State Law Examination
    2004-08-31
Other Names
  • David Arron Slote

View on SEC IAPD

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WELLS FARGO CLEARING SERVICES, LLC
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LASALLE ST. INVESTMENT ADVISORS, L.L.C.
OSAIC WEALTH, INC.
LPL FINANCIAL LLC

Other Investors

Holli Wayne Bellaire
DONNA ROSEANN EVISON
JEFFERY WILLIAM EVISON
Susan E Thomas
JARED LEE LOSING
John Blaise Suseland
BRADLEY CARL NORDBERG
JEFFREY DELWYN LARSON

Other Offices

EDWARD JONES · Missoula, MT
AMERIPRISE FINANCIAL SERVICES, LLC · Missoula, MT
BANKERS LIFE ADVISORY SERVICES, INC. · Missoula, MT
AMERIPRISE FINANCIAL SERVICES, LLC · MISSOULA, MT
EDWARD JONES · MISSOULA, MT
WELLS FARGO CLEARING SERVICES, LLC · MISSOULA, MT
VALIC FINANCIAL ADVISORS, INC. · MISSOULA, MT
LASALLE ST. INVESTMENT ADVISORS, L.L.C. · Missoula, MT

More in Missoula, MT

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