UNION CAPITAL COMPANY of TUCSON, AZ is an SEC-registered investment adviser (CRD 110301). Regulatory assets under management: $150.0M.
Compensation: % of AUM, Commissions.
Clients served: High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Francisco B Almada | DIRECTOR/PRESIDENT/SECRETARY/SHAREHOLDER; DP/FINOP/CHIEF COMPLIANCE OFFICER/PRESIDENT/SECRETARY/DIRECTOR | — |
| Joseph Francis Bodkin | DIRECTOR, DP | — |
| ALMADA FRANCISCO B | DIRECTOR/PRESIDENT/SECRETARY/SHAREHOLDER; DP/FINOP/CHIEF COMPLIANCE OFFICER/PRESIDENT/SECRETARY/DIRECTOR | — |
| BODKIN JOSEPH FRANCIS | DIRECTOR, DP | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-12-04 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM FAILED TO ESTABLISH MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM INCLUDING WSP'S FOR COMPLIANCE WITH THE SUITABILITY REQUIREMENTS OF FINRA RULE 2111 AND THE CARE OBLIGATION OF RULE… | Final | — |
| 2019-04-29 | regulatory | FAILURE TO FILE TIMELY ANNUAL UPDATING AMENDMENT TO FORM ADV. | Final | $2K |