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Robert Michael Hladek

CRD# 2199923·Registered 1991 - 2019
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Michael Hladek was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1991 - 2019. Robert had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 27, Series 4, Series 24, Series 14 and Series 8 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

34 years in the financial services industry

Current & Past Employments

BANKERS CAPITAL INTERNATIONAL·CRD# 166846
BD
New York, NY
March 28, 2019 - April 16, 2019
DOMINICK & DICKERMAN LLC·CRD# 7344
BD
Old Greenwich, CT
December 18, 1991 - September 21, 2020

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Current Firm

BC
BANKERS CAPITAL INTERNATIONAL

BANKERS CAPITAL INTERNATIONAL | SEAWINDS BROKERAGE, LLC

CRD#: 166846 / SEC#: 8-69231
BD
Cancelled by SEC on 06/09/2022

Contact Information

Established

Delaware since 09/24/2012

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
SEAWINDS ASSET MANAGEMENT, LLCMEMBER—
BCI FINANCIAL HOLDINGS, LLCMEMBER—
DEMATTEO, TODD MATTHEWSSENIOR EXECUTIVE DIRECTOR4828546
HLADEK, ROBERT MICHAELFINOP2199923
ROSENBERG, MICHAEL ROBERTSENIOR MANAGING DIRECTOR, CCO5179637

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1992About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 1991About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Jul 1992About the Series 27 exam

Series 4 — Registered Options Principal Examination

Passed May 1992About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Apr 1992About the Series 24 exam

Series 14 — Compliance Officer Examination

Passed Feb 1992About the Series 14 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Jan 1992

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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