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RB

Ronald G. Bartsch

Some features on this profile are disabled
CRD#: 2104489
RB

Professional summary

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

Ronald is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Ronald had worked at 7 firms, which includes UNION CAPITAL COMPANY, LIBERTY PARTNERS FINANCIAL SERVICES LLC, BLUECHIP SECURITIES INC., NATIONS FINANCIAL GROUP INC., ARCHER ALEXANDER SECURITIES CORPORATION, HARBOUR INVESTMENTS INC., SECURITIES AMERICA INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ronald George Bartsch

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

September 19, 2019 - March 2, 2020

UNION CAPITAL COMPANY

BD
CRD#: 110301
WAUKESHA, WI
Past

December 1, 2006 - September 17, 2019

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BD
CRD#: 130390
Waukesha, WI
Past

August 1, 2005 - December 1, 2006

BLUECHIP SECURITIES, INC.

BD
CRD#: 45726
WAUKESHA, WI
Past

December 20, 2003 - July 22, 2005

NATIONS FINANCIAL GROUP, INC.

BD
CRD#: 44181
CEDAR RAPIDS, IA
Past

May 28, 1999 - December 18, 2003

ARCHER ALEXANDER SECURITIES CORPORATION

BD
CRD#: 41555
KANSAS CITY, MO
Past

September 27, 1994 - May 5, 1999

HARBOUR INVESTMENTS, INC.

BD
CRD#: 19258
MADISON, WI
Past

January 16, 1991 - September 12, 1994

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/17/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/15/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/8/2007
General Securities Principal Examination

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)
PREMIUM
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (43 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
UNION CAPITAL HOLDINGS, CORP.PARENT COMPANY/OWNER/SHAREHOLDER
ALMADA, FRANCISCO BDP/FINOP/CHIEF COMPLIANCE OFFICER/PRESIDENT/SECRETARY/DIRECTOR1575694
BODKIN, JOSEPH FRANCISDIRECTOR, DP24606

Regulatory assets under management

Total Number of Accounts517
AUM (Assets Under Management)$ 177,000,000

Disclosures

Regulatory Event2

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#: 110301

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