FA
Francisco B. Almada
UNION CAPITAL COMPANY
Tucson, AZ 85712
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CRD#: 1575694
FA
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 3, Series 99TO, SIE, Series 7, Series 14, Series 28 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Francisco Almada | Frank B Almada | Frank Almada | Francisco B Almada-Torres
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. Principal and Investment Advisor of a separate SEC registered IA, Alamos Capital, Fund Advisor, started 09/2024, Investment Related: 2. Hilltop Capital Company, sole owner, NFA IB Member, sales of derivative securities, Investment Related. Time spent for both entities is 20hrs weekly, all during market hours.
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).
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
April 11, 2007 - Present
UNION CAPITAL COMPANY
Office #1: 6083 East Grant Road, Tucson, AZ 85712Office #2: 6083 E. Grant Rd., Tucson, AZ 85712RIA
BD
CRD#: 110301
Tucson, AZ
Current
October 22, 2024 - Present
ALAMOS CAPITAL, LLC
Office #1: 6083 E. Grant Rd., Tucson, AZ 85712RIA
CRD#: 332985
TUCSON, AZ
Current
August 17, 2001 - Present
UNION CAPITAL COMPANY
Office #1: 6083 East Grant Road, Tucson, AZ 85712Office #2: 6083 E. Grant Road, Tucson, AZ 85712RIA
BD
CRD#: 110301
Tucson, AZ
Past
July 23, 2015 - September 27, 2016
NORTHEAST SECURITIES, LLC
BD
CRD#: 25996
Tucson, AZ
Past
September 30, 1999 - August 13, 2001
TORREY PINES SECURITIES, INC.
BD
CRD#: 17120
SAN DIEGO, CA
Past
October 28, 1996 - November 11, 1997
BENCH SECURITIES CORP.
BD
CRD#: 15938
FORT LEE, NJ
Past
April 3, 1996 - October 28, 1996
WESTAMERICA INVESTMENT GROUP
BD
CRD#: 6626
SCOTTSDALE, AZ
Past
August 17, 1994 - December 31, 1994
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
May 21, 1993 - June 20, 1994
BANC ONE ARIZONA INVESTMENT SERVICES CORPORATION
BD
CRD#: 17738
Past
March 13, 1992 - May 17, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
September 12, 1989 - May 9, 1990
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
November 21, 1986 - September 27, 1989
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
UC
UNION CAPITAL COMPANY
INVERSIONISTA ONLINE, INC. | UNION CAPITAL COMPANY | INVERSIONISTA ONLINE.COM, INC.
CRD#: 110301 / SEC#: 801-121320, 8-53127
RIA
Registered Investment Advisory firm - SEC (5/26/2021 Approved)Arizona
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)California
Registered Investment Advisory firm - SEC (6/27/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Idaho
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/1/2021 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/1/2021 Terminated)New Mexico
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/30/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Texas
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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
Arizona(8/24/2001)
IAR
Arizona(4/11/2007)
RR
Arkansas(9/26/2022)
RR
California(3/14/2002)
IAR
California(12/4/2007)
RR
Colorado(5/3/2004)
RR
Georgia(12/20/2016)
RR
Hawaii(3/22/2017)
IAR
Illinois(10/9/2018)
RR
Indiana(3/1/2016)
IAR
Indiana(11/1/2018)
IAR
Minnesota(10/31/2018)
IAR
Nevada(6/9/2021)
RR
South Dakota(4/27/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 3/28/2002
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UC
UNION CAPITAL COMPANY
INVERSIONISTA ONLINE, INC. | UNION CAPITAL COMPANY | INVERSIONISTA ONLINE.COM, INC.
CRD#: 110301 / SEC#: 801-121320, 8-53127
RIA
Registered Investment Advisory firm - SEC (5/26/2021 Approved)Arizona
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)California
Registered Investment Advisory firm - SEC (6/27/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Idaho
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/1/2021 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/1/2021 Terminated)New Mexico
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/30/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Texas
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
6083 E. Grant Road, Tucson, AZ 85712
Mailing Address
6083 E. Grant Road, Tucson, AZ 85712
Phone number
(520) 664-2001
Established
Arizona since 12/30/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
17
SEC notice filing (16 States and Territories)
FINRA licenses (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 517 |
| AUM (Assets Under Management) | $ 177,000,000 |
Disclosures
| Regulatory Event | 2 |
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
UNION CAPITAL COMPANY
CRD#: 110301Tucson, AZ 85712TRUST BUT VERIFY
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