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Mitchell Slater

UBS Financial Services INC.
38 Years of Experience
Weehawken, NJ
7 DisclosuresBroker
View SEC Summary
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Mitchell Slater is a registered investment advisor at UBS Financial Services INC., based in Weehawken, NJ, with 38 years of industry experience. Mitchell is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.

UBS Financial Services INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B

Fee Structure

Investment management only (planning not offered)
  • Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
One-Time Plan:$500 - $50,000
View Full SEC Brochure

Location

Lincoln Harbor, 1000 & 1200 Lincoln Harbor Blvd, Weehawken, NJ, 07086

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History

Regulatory History (7)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2008
Denied
Customer Dispute
August 2004
Closed-No Action
Customer Dispute
February 2002
Settled
Customer Dispute
September 2001
Denied
Customer Dispute
March 2001
Closed-No Action
Customer Dispute
April 2000
Settled
Customer Dispute
May 1995
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Mitchell volunteers as a host of music on TalentWarch.net, a music industry website, spending minimal time. He also serves on the New York Advisory Board and Event Committee for Little Kids Rock, an education-focused organization. Additionally, Mitchell is one of nine members of the Westfield Board of Education.

Employment History
Current Registrations
UBS Financial Services INC.Broker
April 2010 - Present · 16 yrs 6 mos
UBS Financial Services INC.
April 2010 - Present · 16 yrs 6 mos
Previous Registrations
Morgan Stanley Smith Barney LLC
June 2009 - May 2010 · 11 mos
Morgan Stanley Smith BarneyBroker
June 2009 - May 2010 · 11 mos
Citigroup Global Markets INC.
March 2005 - June 2009 · 4 yrs 3 mos
Citigroup Global Markets INC.Broker
February 2005 - June 2009 · 4 yrs 4 mos
Merrill Lynch Pierce Fenner & Smith INC.
November 1997 - February 2005 · 7 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1988 - February 2005 · 17 yrs 1 mo
State Registrations18 states
AZCACTDCFLMAMEMINCNJNYOHPASCTNTXVTWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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