Brooks Collier Slaughter
CFP®Professional Summary
Brooks Collier Slaughter, CFP® is a registered financial advisor currently at RICHARD P. SLAUGHTER ASSOCIATES, INC. located in Austin, Texas and STRATEGIC INVESTMENT MANAGEMENT located in Austin, Texas. Brooks is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Brooks has worked at 3 firms and has passed the Series 2 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Credentials
Years of Experience
33 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
RICHARD P. SLAUGHTER ASSOCIATES, INC. | SLAUGHTER RICHARD P ASSOCIATES INC | RPS RETIREMENT PLAN ADVISORS
Contact Information
Main Address
9600 North Mopac Suite 600, Austin, TX 78759Phone Number
(512) 918-0000# of Employees
14SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,564AUM (Assets Under Management)
$905,151,221Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
RICHARD P. SLAUGHTER ASSOCIATES, INC. | SLAUGHTER RICHARD P ASSOCIATES INC | RPS RETIREMENT PLAN ADVISORS
State Registrations and Notice Filings
(8/9/2022)
(2/10/2014)
(2/23/1993)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 2 — Non-Member General Securities Examination
Passed Jan 1993Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Brooks Collier Slaughter's CRS (Customer Relationship Summary).
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