Richard W. Slavik
Professional summary
Richard Wayne Slavik, who also goes by Rick Slavik, is a registered financial professional currently at NEWBRIDGE SECURITIES CORPORATION located in Boca Raton, Florida.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1991. Richard has worked at 9 firms and has passed the Series 66, Series 63, Series 65, Series 99TO, Series 79TO, SIE, Series 7, Series 6 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Wayne Slavik's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2026 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432Office #2: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432Office #3: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432Office #4: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432November 28, 2023 - January 6, 2026
NFSG CORPORATION
November 15, 2023 - January 6, 2026
NEWBRIDGE SECURITIES CORPORATION
January 28, 2021 - June 14, 2023
KOVACK ADVISORS, INC.
January 25, 2021 - June 14, 2023
KOVACK SECURITIES INC.
July 23, 2020 - September 22, 2020
INVESTACORP, INC.
July 9, 2020 - January 21, 2021
SECURITIES AMERICA, INC.
April 9, 2010 - July 17, 2020
INVESTACORP, INC.
May 14, 1999 - April 6, 2010
INVESTACORP, INC.
January 8, 1999 - April 16, 1999
WAMU INVESTMENTS, INC.
April 7, 1998 - November 25, 1998
UBS FINANCIAL SERVICES INC.
April 16, 1991 - November 25, 1991
KEYPORT FINANCIAL SERVICES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/7/2026)
(6/30/2026)
(7/7/2026)
(7/7/2026)
(7/7/2026)
(7/7/2026)
(7/7/2026)
(7/8/2026)
(7/7/2026)
(7/7/2026)
(7/7/2026)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
NEWBRIDGE SECURITIES CORPORATION
CRD#: 104065 / SEC#: , 8-52538
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWBRIDGE FINANCIAL INC. | OWNER | |
| BUDDIE, GIOVINA ANN | FINOP/COO/ TREASURER/PRINCIPAL OPERATIONS OFFICER | 1997691 |
| CASOLARO, THOMAS JOSEPH | CO-CEO & CHAIRMAN | 1812805 |
| CHAMPION, CHAD DANA | SENIOR MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING AND EQUITY CAPITAL MARKETS | 3038162 |
| ROBLES, VICTOR MANUEL | FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4490918 |
| SPITLER, ROBERT PENDELTON | CO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER / CCO | 4050312 |
Disclosures
| Regulatory Event | 33 |
| Arbitration | 4 |
Red Flags
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Company Information
NEWBRIDGE SECURITIES CORPORATION
CRD#: 104065Boca Raton, FL 33432TRUST BUT VERIFY
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