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Richard P. Slaughter Associates, Inc. CRD 109080
$905M regulatory AUM 2 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
9600 North Mopac Suite 600, Austin, TX 78759 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2023-05-10 |
| TX | RA | APPROVED | 2023-05-09 |
Branch Locations
9600 North Mopac Suite 600, Austin, TX 78759 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Eastern New Mexico State University | Portales | NM | 08/2017 | 05/2018 |
| Eastern New Mexico State University | Portales | NM | 09/2017 | 05/2018 |
| Four Seasons | Santa Fe | NM | 05/2017 | 08/2017 |
| Eastern New Mexico State University | Portales | NM | 08/2016 | 05/2017 |
| Eastern New Mexico State University | Portales | NM | 08/2015 | 05/2018 |
| Unemployed | Portales | NM | 05/2018 | 07/2018 |
| Axa Advisors, Llc | New York | NY | 07/2018 | 01/2019 |
| Lpl Financial Llc | Austin | TX | 01/2019 | 08/2020 |
| Calton & Associates, Inc | Austin | TX | 09/2020 | 05/2022 |
| Waterloo Capital Management | Austin | TX | 09/2020 | 05/2022 |
| Kestra Investment Services, Llc | Austin | TX | 05/2022 | 04/2023 |
| Kestra Advisory Services, Llc | Austin | TX | 05/2022 | 04/2023 |
| Richard P. Slaughter Associates, Inc. | Austin | TX | 05/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-08-21 |
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