Alonzo Russell

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CRD#: 1993366

Professional summary

Alonzo Russell was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Alonzo is a previously registered financial advisor and started their career in finance in 1989. Prior to being barred, Alonzo had worked at 9 firms, which includes UNION CAPITAL COMPANY, GENEOS WEALTH MANAGEMENT INC., OSAIC SERVICES INC., THE HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS, SUNAMERICA SECURITIES INC., LPL FINANCIAL LLC, NYLIFE SECURITIES LLC, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 16, 2006 - May 31, 2006

UNION CAPITAL COMPANY

CRD#: 110301

TUCSON, AZ

Past

May 5, 2006 - May 10, 2006

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

GILBERT, AZ

Past

October 31, 2005 - April 27, 2006

OSAIC SERVICES, INC.

CRD#: 133763

SCOTTSDALE, AZ

Past

February 13, 2002 - June 7, 2006

THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS

RIA

CRD#: 107773

MESA, AZ

Past

September 18, 2001 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

February 11, 2000 - September 20, 2001

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

May 21, 1999 - February 24, 2000

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

October 30, 1989 - April 7, 1999

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

October 30, 1989 - April 7, 1999

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

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)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/10/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/26/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/26/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/26/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/23/1998

General Securities Principal Examination

Current Firm

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)

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

SEC notice filing (16 States and Territories)

FINRA licenses (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE-DECEMBER 2024 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
UNION CAPITAL HOLDINGS, CORP.	PARENT COMPANY/OWNER/SHAREHOLDER
ALMADA, FRANCISCO B	DP/FINOP/CHIEF COMPLIANCE OFFICER/PRESIDENT/SECRETARY/DIRECTOR	1575694
BODKIN, JOSEPH FRANCIS	DIRECTOR, DP	24606

Regulatory assets under management

Total Number of Accounts	517
AUM (Assets Under Management)	$ 177,000,000

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Alonzo Russell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GENEOS WEALTH MANAGEMENT, INC.

OSAIC SERVICES, INC.

THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS

SUNAMERICA SECURITIES, INC.

LPL FINANCIAL LLC

NYLIFE SECURITIES LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

UNION CAPITAL COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 6/10/2000

Series 63

Date: 10/26/1989

Series 7

Date: 12/26/1997

Series 6

Date: 10/26/1989

Series 24

Date: 1/23/1998

Current Firm

UNION CAPITAL COMPANY

Contact information

SEC notice filing (16 States and Territories)

FINRA licenses (43 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

UNION CAPITAL COMPANY

TRUST BUT VERIFY

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