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Richard Bruce Sladek

Union Capital Company
56 Years of Experience
10 DisclosuresMay Earn Commission
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Union Capital Company
Compensation
Commission-BasedFee-Only (AUM)
Firm Size
11 advisors
Number of Clients
517 clients
Average Client Portfolio
$342K average
Assets Under Management
$177.0M

Fee Structure

Minimum Investment:$25K
Financial Planning:Investment management only

Location

6083 E. Grant Rd., Tucson, AZ, 85712

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History

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 2019
Settled
Employment Separation After Allegations
August 2017
Customer Dispute
April 2017
Settled
Customer Dispute
March 2016
Settled
Customer Dispute
May 2005
Closed-No Action
Customer Dispute
October 2004
Settled
Customer Dispute
March 2003
Award / Judgment
Customer Dispute
January 2002
Denied
Customer Dispute
August 2001
Settled
Customer Dispute
January 2001
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Union Capital Company
July 2018 - Present · 7 yrs 7 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
Exams
No exam information available for this advisor.
Richard Bruce Sladek - Financial Advisor | TrueAdvisor