William Francis Slattery

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
NH	RA	APPROVED	2023-06-29

NH RA
APPROVED

Since 2023-06-29

Branch Locations

Gilford, NH • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wm F Slattery Jr Dba Slattery Inc Svs	Hingham	MA	08/1985	Present
Guardian Life Insurance Co. Of America	New York	NY	11/1989	Present
Minnesota Mutual	St. Paul	MN	12/1996	Present
Cetera Wealth Services, Llc	El Segundo	CA	09/2013	Present
Cetera Investment Advisers Llc	Schaumburg	IL	06/2023	Present

08/1985 → Present

Wm F Slattery Jr Dba Slattery Inc Svs

Hingham, MA
11/1989 → Present

Guardian Life Insurance Co. Of America

New York, NY
12/1996 → Present

Minnesota Mutual

St. Paul, MN
09/2013 → Present

Cetera Wealth Services, Llc

El Segundo, CA
06/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2005-10-10 → 2013-09-03

Walnut Street Securities, Inc.

Gilford, NH
2000-02-18 → 2006-11-03

Walnut Street Advisers Inc

Gilford, NH

Other Businesses

1. INDEPENDENT INSURANCE AGENT - FROM RESIDENCE - SELLING LIFE/ACCIDENT/HEALTH, MEDICARE RELATED PRODUCTS- 2 SECURITIES HOURS/WEEK SINCE 10/2010 2. NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 9/1998; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HELP WITH THE MANAGER OF RENTAL PROPERTY IN BARRINGTON RI, I.E., REPAIRS AND MAINTENANCE AND THE RENTING OF THE PROPERTY.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-09-04
S63	Uniform Securities Agent State Law Examination	1986-07-17

S65 Uniform Investment Adviser Law Examination

1999-09-04
S63 Uniform Securities Agent State Law Examination

1986-07-17

View on SEC IAPD