Richard W. Slavik
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Wayne Slavik, who also goes by Rick Slavik, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1991. Richard had 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 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.
Primary Firm SEC Registration
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
Red Flags
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