Richard Sladek has been an investment adviser representative at Union Capital since July 2018, and is not listed among the firm’s executive officers or direct owners.
Union Capital Company is a Tucson, AZ firm with $150M under management, 414 clients and 11 advisers in one office, as of its August 2026 filing.
Richard Sladek’s longest registration was 19 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (1998–2017). Before joining Union Capital in 2018, Richard Sladek was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- Union Capital CompanyCurrent– present · 8 yearsIncline Village, NV · Adviser representative · Firm CRD 110301
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 19 yearsCoeur D'Alene, ID · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Richard Sladek is registered as an investment adviser representative in 4 states. The first approvals date from July 2018; the most recent is Idaho, in October 2026.
- CaliforniaSince 9 July 2018
- IdahoSince 13 October 2026
- NevadaSince 4 January 2024
- WashingtonSince 16 October 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 26 May 2011 |
| Series 63 | Uniform Securities Agent State Law Examination | 30 December 1986 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 23 May 1984 |
| PC | AMEX Put and Call Exam | 8 September 1977 |
| Series 1 | Registered Representative Examination | 8 March 1968 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- AMEX Put and Call Exam
- Name
- Registered Representative Examination
- Full name
- Richard Bruce Sladek
- CRD
- 426080
- Firm
- Union Capital · CRD 110301
- Office
- Incline Village, NV
- Registration
- Investment adviser registration
- In the industry since
- January 1969
- Disciplinary history
- Not yet shown here · SEC record
Where does Richard Sladek work?
Richard Sladek is an investment adviser representative registered through Union Capital Company since July 2018, and is not listed among the firm’s executive officers or direct owners.
Is Richard Sladek a financial advisor?
Yes. Richard Sladek has a current investment-adviser registration in California, Idaho, Nevada and Washington, through Union Capital since July 2018.
How many years of experience does Richard Sladek have?
Richard Sladek has 57 years in the financial industry, since January 1969, across 2 adviser firms.
What exams has Richard Sladek passed?
Richard Sladek has passed 5 licensing exams: the Series 1, PC, Series 8, Series 63 and Series 65. The earliest, the Series 1, was passed in March 1968. FINRA credited Richard Sladek with the SIE, which began in October 2018.
Where did Richard Sladek work before Union Capital?
Before Union Capital, Richard Sladek was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, July 1998 to September 2017.
Where is Richard Sladek based?
Richard Sladek’s registered office is in Incline Village, NV.
Is Richard Sladek registered with FINRA?
No. Richard Sladek has no current broker registration.
How can I verify Richard Sladek’s record?
Search CRD 426080 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Sladek’s full registration record.