Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Philip John Slater
CRD#: 5973785
IA
Investment Adviser
B
Broker
AMERITAS ADVISORY SERVICES, LLCCRD#: 317245 160 S E ST
EXETER, CA 93221
AMERITAS INVESTMENT COMPANY, LLCCRD#: 14869 160 S E ST
EXETER, CA 93221
Registration History
201220142016201820202022202420262 FIRMS2023 - Present (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2019 - 2022 (2 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2016 - 2018 (1 year)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2014 - 2016 (1 year)BUNIONBANC INVESTMENT SERVICES, LLC (CRD# 14455)2011 - 2012 (1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2020 - 2022 (2 years)
License(s)

State Registrations

B
California 3/13/2023
IA
California 3/13/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERITAS ADVISORY SERVICES, LLC (CRD#:317245)
160 S E ST, EXETER, CA 93221
Registered with this firm since 3/13/2023
B
AMERITAS INVESTMENT COMPANY, LLC (CRD#:14869)
160 S E ST, EXETER, CA 93221
Registered with this firm since 3/10/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/18/2020 - 03/29/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) Bakersfield, CA
B
 11/01/2019 - 03/29/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FRESNO, CA
B
 11/17/2016 - 02/14/2018 J.P. MORGAN SECURITIES LLC (CRD#:79) TULARE, CA
B
 12/22/2014 - 04/14/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) PORTERVILLE, CA
B
 10/10/2011 - 11/07/2012 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) VISALIA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.