Jeremy S. Mocek

RICHARD P. SLAUGHTER ASSOCIATES

Austin, TX 78759

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CRD#: 6359353

Professional summary

Jeremy Scott Mocek is a registered financial advisor currently at RICHARD P. SLAUGHTER ASSOCIATES, INC. located in Austin, Texas.

Jeremy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Jeremy has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeremy Scott Mocek'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

November 20, 2023 - Present

RICHARD P. SLAUGHTER ASSOCIATES, INC.

Office #1: 9600 North Mopac Suite 600, Austin, TX 78759

RIA

CRD#: 109080

Austin, TX

Past

December 16, 2019 - November 14, 2023

ACADEMY CAPITAL MANAGEMENT

RIA

CRD#: 105008

WACO, TX

Past

March 1, 2019 - December 11, 2019

CETERA ADVISORS LLC

RIA

CRD#: 10299

WACO, TX

Past

March 1, 2019 - December 11, 2019

CETERA ADVISORS LLC

CRD#: 10299

WACO, TX

Past

April 9, 2015 - December 19, 2019

FAITHWARD ADVISORS, LLC

RIA

CRD#: 116978

LANCASTER, PA

Past

January 2, 2015 - February 1, 2019

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

LANCASTER, PA

Past

September 12, 2014 - October 23, 2014

EQUITABLE ADVISORS, LLC

CRD#: 6627

DALLAS, TX

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".

RICHARD P. SLAUGHTER ASSOCIATES, INC.

RICHARD P. SLAUGHTER ASSOCIATES, INC. | SLAUGHTER RICHARD P ASSOCIATES INC | RPS RETIREMENT PLAN ADVISORS

CRD#: 109080 / SEC#: 801-55455

RIA

Registered Investment Advisory firm - (4/20/1998 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.

Highlighted states indicate IAR registrations

IAR

New Mexico
(11/21/2023)

IAR

Texas
(11/20/2023)

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

State Security Law Exam

IAR

Series 65

Date: 4/9/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/15/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/12/2014

General Securities Representative Examination

Current Firm

RICHARD P. SLAUGHTER ASSOCIATES, INC.

RICHARD P. SLAUGHTER ASSOCIATES, INC. | SLAUGHTER RICHARD P ASSOCIATES INC | RPS RETIREMENT PLAN ADVISORS

CRD#: 109080 / SEC#: 801-55455

RIA

Registered Investment Advisory firm - (4/20/1998 Approved)

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Contact information

Main Address

9600 North Mopac Suite 600, Austin, TX 78759

Mailing Address

Phone number

(512) 918-0000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROCHURE FOR RICHARD P SLAUGHTER ASSOCIATES (10/22/2025)

Regulatory assets under management

Total Number of Accounts	1,746
AUM (Assets Under Management)	$ 863,943,037

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

Jeremy S. Mocek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeremy Scott Mocek's CRS (Customer Relationship Summary).

Certified licenses

Experience

ACADEMY CAPITAL MANAGEMENT

CETERA ADVISORS LLC

CETERA ADVISORS LLC

FAITHWARD ADVISORS, LLC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

RICHARD P. SLAUGHTER ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/9/2015

Series 63

Date: 10/15/2014

SIE

Date: 10/1/2018

Series 7

Date: 9/12/2014

Current Firm

RICHARD P. SLAUGHTER ASSOCIATES, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RICHARD P. SLAUGHTER ASSOCIATES, INC.

TRUST BUT VERIFY

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