RICHARD BRUCE SLADEK - Investment Adviser at UNION CAPITAL COMPANY

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Detailed ReportReport

RICHARD BRUCE SLADEK

DICK SLADEK

CRD#: 426080

Investment Adviser

Previous Broker

UNION CAPITAL COMPANYCRD#: 110301

Incline Village, NV

Registration History

Disclosure(s)

View By:

4/18/2019

Customer Dispute

Settled

8/16/2017

Employment Separation After Allegations

4/4/2017

Customer Dispute

Settled

3/7/2016

Customer Dispute

Settled

5/16/2005

Customer Dispute

Closed-No Action

10/28/2004

Customer Dispute

Settled

3/17/2003

Customer Dispute

Award / Judgment

1/14/2002

Customer Dispute

Denied

8/24/2001

Customer Dispute

Settled

1/9/2001

Customer Dispute

Settled

License(s)

State Registrations

California 7/9/2018

Nevada 1/4/2024

Florida 9/19/2022

Current Registration(s)

UNION CAPITAL COMPANY (CRD#:110301)

Incline Village, NV

Registered with this firm since 7/9/2018

Previous Registration(s)

th hidden text	th hidden text	Name	Location
IA	07/08/1998 - 09/13/2017	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)	COEUR D'ALENE, ID
B	09/26/1978 - 09/13/2017	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)	COEUR D'ALENE, ID
B	03/12/1968 - 09/26/1978	MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. (CRD#:572)

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)

COEUR D'ALENE, ID

07/08/1998 - 09/13/2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)

COEUR D'ALENE, ID

09/26/1978 - 09/13/2017

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. (CRD#:572)

03/12/1968 - 09/26/1978

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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.

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.