New Haven Advisor Jarrod Slater Receives Investor Complaint

Wells Fargo Clearing Services financial advisor Jarrod Slater (CRD# 4407013) recently received an investor complaint alleging his conduct resulted in damages exceeding $400,000. Financial Industry Regulatory Authority records show that Mr. Slater is currently a broker and an investment advisor based in New Haven, Connecticut. 

Mr. Slater’s BrokerCheck report discloses one investor complaint. Filed in August 2022, it alleges that as a representative of Wells Fargo Clearing Services, he “mismanaged the account by not monitoring it closely until assets were converted to cash.” The pending complaint, which concerns mutual fund investment activity between December 2021 and August 2022, alleges damages of $431,062.80.

According to the Financial Industry Regulatory Authority, Jarrod Slater holds 20 years of securities industry experience. Based in New Haven, Connecticut, he has been a broker and an investment advisor with Wells Fargo Clearing Services since 2011. His past registrations include Janney Montgomery Scott (Darien, Connecticut; 2007-2011), Merrill Lynch (Westport, Connecticut; 2006-2007), AdVest (Hartford, Connecticut; 2003-2006), and Mony Securities Corporation (New York, New York; 2002-2003). His credentials include the passage of seven securities industry qualifying exams: the General Securities Sales Supervisor – Options Module Examination, or Series 9; the General Securities Sales Supervisor – General Module Examination, or Series 10; the General Securities Representative Examination, or Series 7; the National Commodity Futures Examination, or Series 3; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He holds 37 state licenses. (Information current as of October 26, 2022.)

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