HS
ChFC
HS
ChFC
Howard Slater
31 Years of Experience
Cleveland, OH
21 DisclosuresBrokerSells Insurance
Howard Slater is a ChFC-designated registered investment advisor, based in Cleveland, OH, with 31 years of industry experience.
Location
5885 Landerbrook Dr., Suite 200, Cleveland, OH, 44124
Get directionsHistory
Regulatory History (21)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2017Settled
Customer Dispute
November 2013Settled
Customer Dispute
July 2013Denied
Regulatory
April 2013Final
Regulatory
January 2013Final
Customer Dispute
September 2012Settled
Customer Dispute
July 2012Settled
Customer Dispute
July 2012Award / Judgment
Customer Dispute
July 2012Settled
Customer Dispute
March 2012Settled
Customer Dispute
January 2012Settled
Customer Dispute
August 2011Settled
Customer Dispute
April 2011Settled
Customer Dispute
January 2011Settled
Customer Dispute
November 2010Settled
Customer Dispute
September 2010Settled
Customer Dispute
May 2010Settled
Customer Dispute
April 2010Settled
Customer Dispute
April 2010Settled
Customer Dispute
January 2010Settled
Customer Dispute
November 2009Settled
Other Business ActivitiesSells Insurance
Howard owns a personal S Corp for tax planning, volunteers for Chabad of Solon, and is part owner of Wembley Tennis Club. He also holds an insurance license for sales and service, is a partner at SEIA LLC, and volunteers for senior games organizations.
Employment History
Current Registrations
Signature Estate Securities, LLC
June 2024 - Present · 1 yr 11 mos
Signature Estate Securities, LLCBroker
June 2024 - Present · 1 yr 11 mos
Seia
June 2024 - Present · 1 yr 11 mos
Previous Registrations
Cadaret, Grant & CO., INC.Broker
April 2021 - June 2024 · 3 yrs 2 mos
Cadaret Grant & CO INC
April 2021 - June 2024 · 3 yrs 2 mos
Cedar Brook Group
March 2018 - July 2024 · 6 yrs 4 mos
Securities America Advisors, INC.
July 2013 - April 2021 · 7 yrs 9 mos
Securities America, INC.Broker
July 2013 - April 2021 · 7 yrs 9 mos
Securities America Advisors, INC.
July 2005 - February 2013 · 7 yrs 7 mos
Securities America, INC.Broker
July 2005 - February 2013 · 7 yrs 7 mos
Lincoln Financial Advisors Corporation
January 2000 - July 2005 · 5 yrs 6 mos
Lincoln Financial Advisors CorporationBroker
February 1994 - July 2005 · 11 yrs 5 mos
The Lincoln National Life Insurance CompanyBroker
February 1994 - July 2005 · 11 yrs 5 mos
State Registrations3 states
FLOHTX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.