Benjamin H. Slater

FOCUS PARTNERS ADVISOR SOLUTIONS

DENVER, CO

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CRD#: 5174004

Professional summary

Benjamin Haag Slater, who also goes by Benjamin Slater, is a registered financial advisor currently at FOCUS PARTNERS ADVISOR SOLUTIONS, LLC located in Denver, Colorado and FORESIDE FINANCIAL SERVICES, LLC located in Clayton, Missouri.

Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Benjamin has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Benjamin Slater

Other business activities

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.

1: Focus Partners Advisor Solutions, LLC, Investment Related, Denver, CO, Regional Director; Main Relationship Manager for Independent Advisors, Began 11/2018, 160 Hours Per Month, All During Trading Hours. 2: TS II, Investment Related, An LLC Invested in a Private Start up in CO that Manufactures Cannabis Oil, Denver, CO, Owner, Began 08/25/2016, 0 Hours Devoted to this entity. 3) IN ADDITION TO BEING AN INVESTMENT ADVISOR REPRESENTATIVE OF BAM ADVISOR SERVICES, LLC., THIS ASSOCIATE IS A REGISTERED REPRESENTATIVE OF FORESIDE FINANCIAL SERVICES, LLC., AN UNAFFILIATED BROKER DEALER. THE ASSOCIATES IS A REGISTERED REPRESENTATIVE FOR PURPOSES OF FORESIDE FINANCIAL SERVICES, LLC. ACTING AS THE MUTUAL FUND DISTRIBUTOR FOR THE SA FUND UNDER BAM ADVISOR SERVICES, LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Haag Slater's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 17, 2018 - Present

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

RIA

CRD#: 143319

DENVER, CO

Current

October 29, 2018 - Present

FORESIDE FINANCIAL SERVICES, LLC

Office #1: 190 Carondelet Plaza Suite 600, Clayton, MO 63105

CRD#: 148477

Clayton, MO

Past

February 10, 2015 - December 17, 2018

LWI FINANCIAL INC.

RIA

CRD#: 111861

DENVER, CO

Past

July 21, 2014 - October 29, 2018

LORING WARD SECURITIES INC.

CRD#: 46337

SAN JOSE, CA

Past

April 1, 2013 - July 17, 2014

NATIONAL PLANNING CORPORATION

CRD#: 29604

DENVER, CO

Past

May 28, 2010 - April 2, 2013

CURIAN CLEARING, LLC

CRD#: 132938

DENVER, CO

Past

March 2, 2007 - May 25, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

DENVER, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

BAM ADVISOR SERVICES, LLC | LORING WARD | FOCUS PARTNERS ADVISOR SOLUTIONS, LLC | CHARLESTON INVESTMENT ADVISORS | BUCKINGHAM STRATEGIC PARTNERS, LLC

CRD#: 143319 / SEC#: 801-67641

RIA

Registered Investment Advisory firm - (2/1/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(10/29/2018)

IAR

Colorado
(12/17/2018)

Idaho
(1/4/2019)

Missouri
(1/7/2022)

IAR

Missouri
(6/28/2022)

Montana
(1/4/2019)

Oregon
(1/15/2019)

Utah
(1/4/2019)

Washington
(1/4/2019)

Wyoming
(1/4/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/9/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/20/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/1/2007

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

BAM ADVISOR SERVICES, LLC | LORING WARD | FOCUS PARTNERS ADVISOR SOLUTIONS, LLC | CHARLESTON INVESTMENT ADVISORS | BUCKINGHAM STRATEGIC PARTNERS, LLC

CRD#: 143319 / SEC#: 801-67641

RIA

Registered Investment Advisory firm - (2/1/2007 Approved)

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Contact information

Main Address

190 Carondelet Plaza Suite 600, St. Louis, MO 63105

Mailing Address

Phone number

(314) 725-0455

Established

Firm type

Fiscal year end

# of Employees

368

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (8/27/2025)

ADV PART 2B (3/31/2025)

Regulatory assets under management

Total Number of Accounts	78,053
AUM (Assets Under Management)	$ 32,238,330,999

Red Flags

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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Advisor Monitoring

Firm Stability Insights

Benjamin H. Slater

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Haag Slater's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FINANCIAL SERVICES, LLC

LWI FINANCIAL INC.

LORING WARD SECURITIES INC.

NATIONAL PLANNING CORPORATION

CURIAN CLEARING, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/9/2015

Series 63

Date: 8/20/2014

SIE

Date: 10/1/2018

Series 6

Date: 3/1/2007

FINRA

Current Firm

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

TRUST BUT VERIFY

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