William F. Slattery
Professional summary
William Francis Slattery JR is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Gilford, New Hampshire and CETERA WEALTH SERVICES, LLC located in Gilford, New Hampshire.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. William has worked at 9 firms and has passed the Series 65, Series 63, Series 22TO, Series 6TO, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view William Francis Slattery JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
October 10, 2005 - September 3, 2013
WALNUT STREET SECURITIES, INC.
February 18, 2000 - November 3, 2006
WALNUT STREET ADVISERS INC
March 16, 1998 - September 3, 2013
WALNUT STREET SECURITIES, INC.
February 10, 1997 - March 13, 1998
SECURIAN FINANCIAL SERVICES, INC.
December 7, 1989 - February 6, 1997
GUARDIAN INVESTOR SERVICES LLC
May 21, 1986 - November 16, 1989
CADARET, GRANT & CO., INC.
October 20, 1980 - October 28, 1985
EQUITABLE ADVISORS, LLC
June 4, 1980 - October 28, 1985
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/9/2018)
(6/29/2016)
(9/3/2013)
(9/3/2013)
(1/14/2016)
(9/3/2013)
(6/29/2023)
(9/3/2013)
(7/10/2023)
(9/3/2013)
(2/26/2021)
(9/3/2013)
Exams
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 5/15/1980
Registered Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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