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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Slater is an active investment advisor representative with UBS Financial Services Inc. with over 30 years of experience in the industry. William specializes in Portfolio Management for Individuals and Businesses, Financial Planning, Pension Consulting, and Educational Seminars. William Slater is registered with FINRA and with 38 states and District of Columbia. William Slater is also licensed as an investment advisor in 6 states including Arkansas, District of Columbia, Florida, Maryland, Texas, and Virginia. Prior to joining UBS Financial Services Inc. William was employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated for over 30 years.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
FL
10/20/2022 - Present
UBS Financial Services Inc. (Indian River Shores FL)
DC
11/13/1990 - 09/27/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WASHINGTON DC)
NA
05/16/1988 - 10/31/1990
F.N. WOLF & CO., INC.
NA
02/02/1987 - 05/18/1988
SHERWOOD CAPITAL, INC.
NA
07/24/1985 - 01/31/1987
FIRST JERSEY SECURITIES, INC.
IA
Issued 11/26/1990
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/07/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/23/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 11/14/1988
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 07/20/1985
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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