RS
Richard W. Slavik
NFSG
Boca Raton, FL 33432
Some features on this profile are disabled
CRD#: 2122910
RS
Professional summary
Richard Wayne Slavik, who also goes by Rick Slavik, is a registered financial advisor currently at NFSG CORPORATION located in Boca Raton, Florida and NEWBRIDGE SECURITIES CORPORATION located in Boca Raton, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and 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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Slavik
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) FIXED INSURANCE SALES - 137 SW 96 AVENUE, PLANTATION, FL 33324; INSURANCE AGENT; SALES OF FIXED INSURANCE PRODUCTS; FIXED INSURANCE SALES CONSISTING OF TRADITIONAL LIFE, TERM, AND HEALTH INSURANCE; INVESTMENT RELATED BUSINESS; LESS THAN 1% OF TIME SPENT
CRS (Client Relationship Summary) - RIA
Click below to view Richard Wayne Slavik's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 28, 2023 - Present
NFSG CORPORATION
Office #1: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432RIA
CRD#: 130814
Boca Raton, FL
Current
November 15, 2023 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432Office #2: 15 Cattano Avenue Chancery Square, Morristown, NJ 07960Office #3: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432Office #4: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432Office #5: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432BD
CRD#: 104065
Boca Raton, FL
Past
January 28, 2021 - June 14, 2023
KOVACK ADVISORS, INC.
RIA
CRD#: 140808
Fort Lauderdale, FL
Past
January 25, 2021 - June 14, 2023
KOVACK SECURITIES INC.
BD
CRD#: 44848
FORT LAUDERDALE, FL
Past
July 23, 2020 - September 22, 2020
INVESTACORP, INC.
BD
CRD#: 7684
MIAMI, FL
Past
July 9, 2020 - January 21, 2021
SECURITIES AMERICA, INC.
BD
CRD#: 10205
PLANTATION, FL
Past
April 9, 2010 - July 17, 2020
INVESTACORP, INC.
BD
CRD#: 7684
MIAMI, FL
Past
May 14, 1999 - April 6, 2010
INVESTACORP, INC.
BD
CRD#: 7684
MIAMI LAKES, FL
Past
January 8, 1999 - April 16, 1999
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
April 7, 1998 - November 25, 1998
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 16, 1991 - November 25, 1991
KEYPORT FINANCIAL SERVICES CORP.
BD
CRD#: 8127
WELLESLEY HILLS, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(7/8/2024)
RR
Florida(11/15/2023)
IAR
Florida(11/28/2023)
RR
Massachusetts(7/8/2024)
RR
Nevada(7/8/2024)
RR
New Mexico(7/8/2024)
RR
New York(7/8/2024)
RR
North Carolina(7/9/2024)
RR
South Dakota(7/8/2024)
RR
Texas(7/8/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
Phone number
(954) 334-3450
Established
Firm type
Fiscal year end
# of Employees
89
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NFSG CORPORATION
CRD#: 130814Boca Raton, FL 33432TRUST BUT VERIFY
Monitor Richard Slavik
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
