David Slates

Current Employers

Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2022-10-27
OH	RA	APPROVED	2022-03-04
TX	RA	APPROVED	2022-03-04

FL RA
APPROVED

Since 2022-10-27
OH RA
APPROVED

Since 2022-03-04
TX RA
APPROVED

Since 2022-03-04

Branch Locations

655 Metro Place South Suite 720 [Satellite], Dublin, OH 43017 • United States

416 Main Street [Satellite], Coshocton, OH 43812 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Dublin	OH	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Dublin	OH	11/2016	03/2022
Wells Fargo Advisors Financial Network, Llc	Dublin	OH	03/2022	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Dublin, OH
11/2016 → 03/2022

Wells Fargo Clearing Services, Llc

Dublin, OH
03/2022 → Present

Wells Fargo Advisors Financial Network, Llc

Dublin, OH

Previous Registrations

2008-01-01 → 2022-03-04

Wells Fargo Clearing Services, Llc

Dublin, OH

Columbus, OH

Zanesville, OH
2007-09-21 → 2008-01-01

A. G. Edwards & Sons, Inc.

Columbus, OH

St. Louis, MO
1999-08-16 → 2007-10-02

Ubs Financial Services Inc.

Zanesville, OH

Other Businesses

GALT'S GULCH LLC; INV RELATED; DUBLIN, OH; OWNER; INVESTMENTS / REAL ESTATE; START 3/3/2009; 0 HRS MONTH; 0 HRS DURING TRADING; FIND, PURCHASE AND OPERATE INVESTMENT OPPORTUNITIES (PRIMARILY REAL ESTATE). RAGNAR INDUSTRIES LLC, INV RELATED, DUPLIN, CT, 50% OWNERSHIP, START 2013, 2 HOURS PER MONTH/0 DURING TRADING. TRUSTEE FOR NEPHEW; INVESTMENT RELATED; FORT LAUDERDALE, FL; START 2/2014; 1.50 HRS PER DAY; 1 HR DURING TRADING. SBQ INVESTMENTS LLC, INV RELATED, DUBLIN, OH, 25% OWNER, START 12/2014, 2 HOURS PER MONTH/0 DURING TRADING, DUTIES: OWNER. RENTAL PROPERTY, INVT RELATED, POWELL, OH, 100% OWNERSHIP, START 1/6/2012, 1 HR PER MONTH, 0 HRS DURING TRADING, LANDLORD. RENTAL CONDO, INVT RELATED, MARCO ISLAND, FL, 100% OWNERSHIP WITH SPOUSE, START 4/15/2021, 1 HR PER MONTH, 0 HRS DURING TRADING, MANAGING MEMBER. TRUSTEE FOR NEPHEW, INV RELATED, FT. LAUDERDALE, FL, START 7/26/2021, 0 HRS/MONTH, 0 HRS DURING TRADING. SLATES WELATH MANAGEMENT LLC, INV RELATED, DUBLIN, OH, 50.1% OWNERSHIP, START 12/1/2021, 10 HOURS PER MONTH, ZERO HOURS DURING TRADING, FINET PRACTICE. 8070 HARRIOTT RD, LLC; INV RELATED;DUBLIN,OH; LLC;50% OWNERSHIP; START DATE: 02/16/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING; POA FOR MOTHER; INV RELATED;POWELL,OH; POWER OF ATTORNEY/CO-POWER OF ATTORNEY; START DATE: 03/09/2026; 2 HRS PER MONTH; 0 HRS DURING TRADING;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-09-30
S63	Uniform Securities Agent State Law Examination	1998-09-25

S65 Uniform Investment Adviser Law Examination

1998-09-30
S63 Uniform Securities Agent State Law Examination

1998-09-25

Other Names

Dave Slates
David Corwin Slates

View on SEC IAPD