Marvin M. Slater and Assoc. | Financial Advisor in Dallas ,TX

9656 Lynbrook Dr
Dallas, TX 75238

About

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



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 , Businesses , Individual Investors
Foreign Languages Serviced:   none English only


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


Qualifications & Memberships
Insurance and Annuity Licenses:   Health , Long Term Care , Accident , Annuity , Variable Life , Life , Variable Annuity
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


Compliance
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 & 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



FAQs

  • 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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