Francisco B Almada
Professional Summary
Francisco B Almada, who also goes by Francisco Almada, Frank B Almada, Frank Almada, Francisco B Almada-torres, is a registered financial advisor currently at UNION CAPITAL COMPANY located in Tucson, Arizona and ALAMOS CAPITAL, LLC located in Tucson, Arizona. Francisco is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Francisco has worked at 11 firms and has passed the Series 66, Series 63, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Francisco Almada, Frank B Almada, Frank Almada, Francisco B Almada-Torres
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
40 years in the financial services industry
Current & Past Employments
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Current Firm
INVERSIONISTA ONLINE, INC. | UNION CAPITAL COMPANY | INVERSIONISTA ONLINE.COM, INC.
Contact Information
Main Address
6083 E. Grant Road, Tucson, AZ 85712Mailing Address
6083 E. Grant Road, Tucson, AZ 85712Phone Number
(520) 664-2001Established
Arizona since 12/30/1999Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
13SEC notice filing (16 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
FINRA licenses (43 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
414AUM (Assets Under Management)
$150,000,000Disclosures
Regulatory Event
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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.
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Primary Firm SEC Registration
INVERSIONISTA ONLINE, INC. | UNION CAPITAL COMPANY | INVERSIONISTA ONLINE.COM, INC.
State Registrations and Notice Filings
(8/24/2001)
(4/11/2007)
(9/26/2022)
(3/14/2002)
(12/4/2007)
(5/3/2004)
(12/20/2016)
(3/22/2017)
(10/9/2018)
(3/1/2016)
(11/1/2018)
(10/31/2018)
(6/9/2021)
(4/27/2018)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Mar 2002About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Francisco B Almada's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Francisco B Almada's CRS (Customer Relationship Summary).
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