About Marvin M. Slater and Assoc.

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.

General Information Years of Experience in Financial Services:    13 Gender:    Male Foreign Languages Serviced:    none English only CRD#:    2857035 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 Firm CRD#:    132459 States Licensed in:    TX CA Name of Custodial Firm:    TD Ameritrade Number of Years with Current Firm:    6 Insurance License#:    939331 Texas Work with the following types of clients:    Businesses, Individual Investors, Trust Accounts Name of Broker/Dealer:    TD Ameritrade States Willing to do Business in:    All

Education Academic Background   Troy State University - Business Administration University of Texas at Dallas - Organizational Behavior

Services Investment Types:    Mutual Funds, FOREX & Currency, Options & Futures, Bonds, Stocks, Annuities, Insurance, Commodities, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI), Life settlement Can meet clients in the following ways:    Your Office, Email, Phone, Our Office, Your Home

Qualifications & Memberships Securities Licenses:    Series 65 Insurance and Annuity Licenses:    Variable Life, Long Term Care, Variable Annuity, Life, Health, Annuity, Accident Financial Organization Memberships:    National Association of Personal Financial Advisors (NAPFA) Non-Financial Organization Memberships:    Military Oficers Association Association for Technical Analysis

Firm Information Assets Managed by Firm:    $2,000,000 Assets Managed by Advisor:    $2,000,000 Advisor's Number of Clients:    30 Firm's Number of Clients:    30 Advisor's Number of Planning Clients:    0 Advisor's Number of Managed Clients:    30 Firm's Number of Planning Clients:    0 Firm's Number of Managed Clients:    30

Compliance Criminal Disclosures in Last 5 years:    Have a clean record Compliance Disclosures in Last 5 years:    Have a clean record Registered Investment Advisor:    Yes Acknowledged fiduciary:    Yes

Compensation and Fees Hourly Rate:    $150 Fee % Based on Assets:    1.0% Additional Details on Charges:    Management of account 1.0% Annuities and Life Settlement commission as stated by carrier Compensation Methods:    Based on Assets, Flat Fee, Commissions Minimum Portfolio Size for New Managed Accounts:    $100,000 Fee Structure:    Fee-Based

Frequently Asked Questions

Q.	Do you have a customer satisfaction or refund policy?

Q.	What are your qualifications? What is your education background?

Q.	How are you compensated? How will I pay for your services?

Q.	If you are going to manage my account, will you obtain my permission every time you buy or sell something?

Q.	How many clients do you currently manage?

Q.	Will you be the only person working with me?

Q.	Do you offer any guaranteed results?

Q.	How much risk should I be willing to take?

Q.	Have you ever been charged with any breaches?

Q.	What is your approach to financial planning?

Q.	What services do you offer?

Q.	Why should I choose you as my financial advisor?

Q.	How do you charge for your services?

Q.	What services do you provide? What are your specialties?

Q.	What is your experience? How many clients do you currently manage?

Q.	What financial institution(s) do you represent?

Q.	What are your management fees?

Q.	What kind of plans do you specialize in?

Q.	Do you have a minimum requirement for number of employees or total investment value?

Q.	What type of plans do you offer?

Q.	Do you offer any additional services?

Q.	What are your qualifications?

Q.	What is your approach to 401 K plan rollovers?

Q.	How long does the process of rolling over a 401K plan usually take?

Q.	What financial institutions do you represent?

Q.	How many years of experience do you have?

Q.	What are your fees for this service?

Q.	How many 401K rollover clients do you currently manage?

Q.	Why should I roll over my 401K plan to your firm?

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Q.	Do you have a customer satisfaction or refund policy?
No refunds but we will suspend management and associated charges immediately upon request.

Q.	What are your qualifications? What is your education background?
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.

Q.	How are you compensated? How will I pay for your services?
30 clients.

Q.	If you are going to manage my account, will you obtain my permission every time you buy or sell something?
Yes

Q.	How many clients do you currently manage?
Flat 1.0% of account size under management. For annuities and insurance commission as determined by carrier.

Q.	Will you be the only person working with me?
No. You give power of attorney for investment decisions so that there is no delay in investment implementation. All investments are subsequently discussed and explained. You are kept informed.

Q.	Do you offer any guaranteed results?
I can't guarantee the performance of the market or our investments, in fact, the SEC and state regulators will not allow it. I am, however, invested in the same portfolio that you are.

Q.	How much risk should I be willing to take?
We will discuss that and determine a proper and comfortable level before we start.

Q.	Have you ever been charged with any breaches?
No. My record is clean.

Q.	What is your approach to financial planning?
Flat 1.0% of account size under management. For annuities and insurance commission as determined by carrier.

Q.	What services do you offer?
I have a clean record, I put my money in the same investments as my clients and I put myself in front of the console every day monitoring client accounts so I can be prepared to make changes or go to cash if needed immediately if the market dictates.

Q.	Why should I choose you as my financial advisor?
A graduate degree in Finance, series 3, series 65 and insurance licenses.

Q.	How do you charge for your services?
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.

Q.	What services do you provide? What are your specialties?
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.

Q.	What is your experience? How many clients do you currently manage?
I have been in finance for 13 years and currently mange 30 accounts.

Q.	What financial institution(s) do you represent?
I am an independent Investment Advisor and use TD Ameritrade and Interactive Brokers as custodians and brokers.

Q.	What are your management fees?
I manage your 401(k) for 1.0% of account size.

Q.	What kind of plans do you specialize in?
Each financial plan is designed for specically the client so I have wealth building plans, college savings plans, retirement plans and trust accounts.

Q.	Do you have a minimum requirement for number of employees or total investment value?
No minimum.

Q.	What type of plans do you offer?
Managed and self-directed plans.

Q.	Do you offer any additional services?
I also offer life and health insurance.

Q.	What are your qualifications?
A graduate degree in Finance, series 3, series 65 and insurance licenses.

Q.	What is your approach to 401 K plan rollovers?
Review client needs and previous investments. Analyze tax implications. Determine benefiary needs. Check for hidden flaws. Design plan. Get client approval. Manage plan. Communicate frequently.

Q.	How long does the process of rolling over a 401K plan usually take?
Usually 2 weeks to transfer assets then changes vary depending on needs and market conditions. I acquire assets when it is favorable to us.

Q.	What financial institutions do you represent?
I am an independent Investment Advisor and use TD Ameritrade and Interactive Brokers as custodians and brokers.

Q.	How many years of experience do you have?
I have been investing client assets for 13 years.

Q.	What are your fees for this service?
Flat 1.0% of account size under management. For annuities and insurance commission as determined by carrier.

Q.	How many 401K rollover clients do you currently manage?
Approximately 20.

Q.	Why should I roll over my 401K plan to your firm?
I have a clean record, I put my money in the same investments as my clients and I put myself in front of the console every day monitoring client accounts so I can be prepared to make changes or go to cash if needed immediately if the market dictates.