Brett Sloten is a registered investment advisor, based in Decorah, IA, with 8 years of industry experience.
Location
401 W. Water St., Suite 1, Decorah, IA, 52101
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Brett is an officer (Vice President and Treasurer) at Dick Cuvelier Financial Services, Inc. He works as a financial advisor in the branch, helping clients with their financial goals, taking about half of his time.
Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
July 2021 - Present · 5 yrs 2 mos
Raymond James Financial Services Advisors, INC
July 2021 - Present · 5 yrs 2 mos
Previous Registrations
LPL Financial LLCBroker
May 2019 - September 2021 · 2 yrs 4 mos
LPL Financial LLC
May 2019 - September 2021 · 2 yrs 4 mos
Edward Jones
April 2018 - May 2019 · 1 yr 1 mo
Edward JonesBroker
March 2018 - May 2019 · 1 yr 2 mos
State Registrations11 states
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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.