RS
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Richard Sladek
57 Years of Experience
10 DisclosuresMay Earn Commission
Richard Sladek is a registered investment advisor at Union Capital Company, based in Tucson, AZ, with 57 years of industry experience. Their practice areas include Investment Management. Their firm serves 517 clients with $180M in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)
Firm Size
12 advisors
Number of Clients
517 clients
Average Client Portfolio
$342K average
Assets Under Management
$177.0M
Fee Structure
Minimum Investment:$25K
Investment management only (planning not offered)
Union Capital Company manages investment portfolios for a fee based on the value of your portfolio. The annual fee ranges are:
- $0 to $5,000,000: 0.60% - 2.00%
- $5,000,001 to $10,000,000: 0.40% - 1.75%
- Over $10,000,000: Negotiable
Fees are calculated and collected quarterly in advance. There is a minimum account size of $25,000. The fees and account minimums are negotiable.
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Location
6083 E. Grant Rd., Tucson, AZ, 85712
Get directionsHistory
Regulatory History (10)
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
April 2019Settled
Employment Separation After Allegations
August 2017Customer Dispute
April 2017Settled
Customer Dispute
March 2016Settled
Customer Dispute
May 2005Closed-No Action
Customer Dispute
October 2004Settled
Customer Dispute
March 2003Award / Judgment
Customer Dispute
January 2002Denied
Customer Dispute
August 2001Settled
Customer Dispute
January 2001Settled
Employment History
Current Registrations
Union Capital Company
July 2018 - Present · 7 yrs 9 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 1998 - September 2017 · 19 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1978 - September 2017 · 39 yrs
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
March 1968 - September 1978 · 10 yrs 6 mos
State Registrations4 states
CAFLNVWA
Advisor
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.