Marvin Slater
Marvin M. Slater and Assoc.

9656 Lynbrook Dr
Dallas, TX 75238
Marvin M. Slater and Assoc. | Financial Advisor in Dallas ,TX

About Marvin M. Slater and Assoc.

We practice active management of all accounts. Our investments are subjected to a risk management survey every night and if changes are called for, including going to cash, we implement the next morning when the market opens. We also check client finances for overlooked items including tax implications and inheritance details. Communication is very important to us. We are always available by phone and email plus we have a monthly newsletter to help you stay informed. Our goal is client account success.

13 Years of Experience

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General Information

Insurance License#:   939331 Texas
Name of Broker/Dealer:   TD Ameritrade
Name of Custodial Firm:   TD Ameritrade
States Licensed in:   TX CA
Number of Years with Current Firm:   6
Work Experience:   Securities 1997 to present
Manufacturers Representative 1992 to 1997
Exxon Manager 1979 to 1992
Independent Sales Rep 1976 to 1979
U.S. Air Force pilot 1960 to 1976
I work with the following types of clients:   Trust Accounts , Individual Investors , Businesses
Foreign Languages Serviced:   none English only


Investment Types:   Insurance , Annuities , Life settlement , Stocks , FOREX & Currency , Exchange Traded Funds (ETFs) , Commodities , Alternative Investments , Options & Futures , Bonds , Mutual Funds , Socially Responsible Investments (SRI)
I can meet clients in the following ways:   Via email , Via phone , At your office , At your home , At my office

Qualifications & Memberships

Insurance and Annuity Licenses:   Annuity , Health , Life , Long Term Care , Variable Annuity , Variable Life , Accident
Financial Organization Memberships:   National Association of Personal Financial Advisors (NAPFA)
Non-Financial Organization Memberships:   Military Oficers Association
Association for Technical Analysis

Firm Information

Firm's Number of Clients:   30
Firm's Number of Planning Clients:   0
Firm's Number of Managed Clients:   30
Assets Managed by Firm:   $2,000,000
Advisor's Number of Clients:   30
Advisor's Number of Managed Clients:   30
Advisor's Number of Planning Clients:   0
Assets Managed by Advisor:   $2,000,000


Registered Investment Advisor:   Yes
I am an acknowledged fiduciary:   Yes
Compliance Disclosures in Last 5 years:   I have a clean record
Criminal Disclosures in Last 5 years:   I have a clean record

Compensation and Fees

Fee Structure:   I am a fee-based financial professional
Minimum Portfolio Size for New Managed Accounts:   $100,000
Compensation Methods:   Commissions , Based on Assets , Flat Fee
Fee % Based on Assets:   1.0%
Hourly Rate:   $150
Additional Details on Charges:   Management of account 1.0%
Annuities and Life Settlement commission as stated by carrier


  • Do you have a customer satisfaction or refund policy? No refunds but we will suspend management and associated charges immediately upon request.
  • What are your qualifications? What is your education background? A graduate degree in Finance, series 3, series 65 and insurance licenses.
  • What is your approach to financial planning? We complete a fact finding form to determine client needs then discuss the plan with the client. We use a risk managed daily adjusted system based on research using standard and alternative investments that are proven to avoid market failures and provide greater safety.
  • What services do you offer? 401(k) management, rollover retirement accounts, trust account Financial Advisor, self-managed account monitoring and implementation, financial plan implementation and design, life and health insurance.
  • How many clients do you currently manage? 30 clients.
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Marvin Slater

Marvin Slater

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