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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 | 2021-04-29 |
| TX | RA | APPROVED | 2021-04-29 |
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 |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Austin | TX | 03/2014 | 06/2018 |
| Charles Schwab Bank | Austin | TX | 07/2016 | 06/2018 |
| Charles Schwab & Co., Inc. | Austin | TX | 12/2018 | 03/2021 |
| Charles Schwab Bank, Ssb | Austin | TX | 12/2018 | 03/2021 |
| Unemployed | Austin | TX | 06/2018 | 09/2018 |
| Quick Cat/ York Risk Services Group | Austin | TX | 09/2018 | 10/2018 |
| Unemployed | Austin | TX | 10/2018 | 12/2018 |
| Richard P. Slaughter Associates, Inc. | Austin | TX | 04/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-12-04 |
| S63 | Uniform Securities Agent State Law Examination | 2014-08-10 |
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