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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

MITCHELL PAUL SLATER

Advisor at UBS FINANCIAL SERVICES INC.

WEEHAWKEN, NJ

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Search this name across graphsid dfx:ria:c9908e0b-22ea-bbe4-0123-b5c38ddaf79d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 13, 1997 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 27, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63
First exam: Jan 27, 1988
First registration: Nov 13, 1997
Dual registered: yes, broker-dealer
Other names: MITCHELL P SLATER
IAPD individual key: 1765778

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UBS FINANCIAL SERVICES INC.	Wirehouse	May 31, 2010	n/a	yes	WEEHAWKEN, NJ	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	May 27, 2010	no	FLORHAM PARK, NJ\|FLORHAM PARK, NJ\|Morristown, NJ	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Mar 29, 2005	Jun 1, 2009	no	FLORHAM PARK, NJ\|FLORHAM PARK, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 13, 1997	Feb 4, 2005	no	FLORHAM PARK, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	May 27, 2010	May 31, 2010	4	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Feb 4, 2005	Mar 29, 2005	53	Firm change	Other

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
May 31, 2010 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to May 27, 2010factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Mar 29, 2005 to Jun 1, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 13, 1997 to Feb 4, 2005factForm ADV

Dated events

No dated event names this entity yet.