JE
Joseph Eberle
UNION CAPITAL COMPANY
Pooler, GA
Some features on this profile are disabled
CRD#: 1685607
JE
Professional summary
Joseph Eberle III, who also goes by Jay Eberle III, Joseph III Eberle, Joseph Nomi Eberle Iii, Joseph Eberle, Jay Eberle, is a registered financial advisor currently at UNION CAPITAL COMPANY located in Pooler, Georgia.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Joseph has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jay Eberle Iii | Joseph Iii Eberle | Joseph Nomi Eberle Iii | Joseph Eberle | Jay Eberle
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.
No. 1) Name of Business: Shelby County Schools. Non-Investment related. Address: 160 S. Hollywood, Memphis, TN 38112. Nature of Business: Provides quarterly reviews. Position/Title/Relationship: Employee. Start Date: 1989. Hours per quarterly: 24hrs. Hours per month during Securities trading hours quarterly: 0. Pay: $2,850 for each annual contract report. Duties/Responsibilities: It has been one of the longest relationships I have had in the investment business, being an investment advisor for what was originally the Memphis City Schools. The local pension plan changed its name almost ten years ago to Shelby County Schools Local Retirement Plan as the city schools collapsed into the county system, the board of education for the schools serves as the trustees of the plan and I have prepared quarterly performance reports for over a more than thirty year time span. There are less than 10 people left and the plan will probably end in the next year or two. The staff issue me personally an annual contract to create the quarterly reviews, which under the present format results in about a forty page document on the two money managers performance.
No. 2) Name of Business: Trust Company of Knoxville. Investment related but do not advise nor do any trading. Address: 4823 Old Kingston Pike, Knoxville, TN 37919. Nature of Business: Attend meetings from time to time. Position/Title/Relationship: Employee. Start Date: 1998. Hours per year: 12hrs and under. Hours per month during Securities trading hours: 0. Pay: Quarterly Fee. Duties/Responsibilities: I have had a relationship with the Trust Company of Knoxville for more than thirty years. It is one of the largest independent trusts in the south. I receive a fee for placing business with the company. I have a large 401k for the Convention and Visitors Bureau of Memphis that I placed with them more than twenty years ago. It requires me to attend meetings from time to time and help make presentations to employees a couple times a year.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Eberle III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Eberle III'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
May 28, 2021 - Present
UNION CAPITAL COMPANY
RIA
BD
CRD#: 110301
Pooler, GA
Current
February 19, 2021 - Present
UNION CAPITAL COMPANY
Office #1: 6083 E. Grant Road, Tucson, AZ 85712Office #2: 6083 E. Grant Rd., Tucson, AZ 85712RIA
BD
CRD#: 110301
Tucson, AZ
Past
April 20, 2015 - January 31, 2021
CALTON & ASSOCIATES, INC.
RIA
CRD#: 20999
Memphis, TN
Past
April 17, 2015 - January 31, 2021
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
TAMPA, FL
Past
April 28, 2004 - December 31, 2015
ADVANCED ASSET TRADING, INC
RIA
CRD#: 37044
MEMPHIS, TN
Past
March 19, 1998 - August 28, 2015
ADVANCED ASSET TRADING, INC
BD
CRD#: 37044
MEMPHIS, TN
Past
May 7, 1997 - December 10, 1997
R. D. KUSHNIR & CO.
BD
CRD#: 24013
NORTHBROOK, IL
Past
June 7, 1990 - December 18, 1996
ENERECAP PARTNERS, LLC
BD
CRD#: 26554
ATLANTA, GA
Past
June 1, 1989 - June 1, 1990
ING INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 21644
NEW YORK, NY
Past
September 15, 1988 - June 1, 1990
ABN AMRO SECURITIES LLC
BD
CRD#: 6540
NEW YORK, NY
Past
July 10, 1987 - May 13, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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
Georgia(2/19/2021)
RR
Mississippi(2/23/2021)
RR
Tennessee(2/19/2021)
IAR
Tennessee(5/28/2021)
RR
Washington(2/23/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/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.
