Advisor at Union Capital Company
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Union Capital Company
Location
Incline Village, NV
Credentials
Series 63, Series 65
Industry experience
57 years
Richard Sladek is a financial advisor at Union Capital Company with 57 years of industry experience. He holds Series 63 and Series 65 licenses and previously worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated for 50 years before joining Union Capital Company in 2018. Union Capital Company provides portfolio management and advisory services to individuals, trusts, estates, charitable organizations, and corporations. The firm uses a process-oriented approach based on Markowitz modern portfolio theory, offering both discretionary and non-discretionary portfolio management across a range of investment strategies.
Based on Union Capital Company
$0 - $5,000,000: 0.60% - 2.00% $5,000,001 - $10,000,000: 0.40% - 1.75% $10,000,000+: Negotiable
Advisory agents may receive commissions, 12b-1 fees, and other compensation from securities and insurance sales.
Account minimum: $25,000
Incline Village, NV
California · Florida · Nevada · Washington
Union Capital Company
2018 - Present (8 years)
Strategic Consultants LLC
2018 - 2018 (1 year)
Unemployed
2017 - 2018 (1 year)
Merrill
1967 - 2017 (50 years)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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