William R Slater

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

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

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
VA	RA	APPROVED	2022-10-20
FL	RA	APPROVED	2022-10-19
DC	RA	APPROVED	2022-10-11
AR	RA	APPROVED	2022-10-10
MD	RA	APPROVED	2022-09-26
TX	RA	APPROVED_RES	2022-09-26

VA RA
APPROVED

Since 2022-10-20
FL RA
APPROVED

Since 2022-10-19
DC RA
APPROVED

Since 2022-10-11
AR RA
APPROVED

Since 2022-10-10
MD RA
APPROVED

Since 2022-09-26
TX RA
APPROVED_RES

Since 2022-09-26

Branch Locations

Indian River Shores, FL • United States

1700 M Street Nw 5Th Floor, Washington, DC 20036 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Washington	DC	11/1990	09/2022
Bank Of America, Na	Washington	DC	09/2009	09/2022
Ubs Financial Services	Washington	DC	09/2022	Present

11/1990 → 09/2022

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Washington, DC
09/2009 → 09/2022

Bank Of America, Na

Washington, DC
09/2022 → Present

Ubs Financial Services

Washington, DC

Previous Registrations

1990-11-16 → 2022-09-27

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Washington, DC

Washington, DC

Indian River Shores, FL

Other Businesses

1) NAME OF OTHER BUSINESS: Shepherd Foundation / INVESTMENT RELATED?: N / ADDRESS: Glenridge Dr, Chevy Chase / NATURE OF THE BUSINESS: Charity / POSITION: Member of Board of directors / DUTIES: Tuition assistance, Help run fundraising events/ START DATE:12/01/2015 / HOURS DEVOTED TO BUSINESS: NA /// 2) C.L. Trust DTD 10-14-88; Oversight of the trust for my aunt A.B.S. Proceeds are from a life insurance policy at his death in 1988; 730 Beach Road, Indian River Shores, Florida 32963; Assist in oversight of the trust assets for the benefit of A.B.S. Start date: 3/1/2023

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1990-11-26
S63	Uniform Securities Agent State Law Examination	1986-11-07

S65 Uniform Investment Adviser Law Examination

1990-11-26
S63 Uniform Securities Agent State Law Examination

1986-11-07

Other Names

Bill Slater
William Richard Slater

View on SEC IAPD