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KC

Kenneth P. Collins

Some features on this profile are disabled
CRD#: 2395008
KC

Professional summary

Kenneth Paul Collins JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kenneth is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Kenneth had worked at 8 firms, which includes UNION CAPITAL COMPANY, MONEY CONCEPTS CAPITAL CORP, CETERA FINANCIAL SPECIALISTS LLC, TRIAD ADVISORS LLC, OSAIC SERVICES INC., SUNAMERICA SECURITIES INC., A. G. EDWARDS & SONS INC., PFS INVESTMENTS INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kenny Collins

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

February 18, 2016 - November 14, 2016

UNION CAPITAL COMPANY

BD
CRD#: 110301
TUCSON, AZ
Past

September 23, 2014 - December 31, 2015

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
Logan, WV
Past

December 5, 2012 - September 29, 2014

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
CHAPMANVILLE, WV
Past

July 31, 2006 - December 5, 2012

TRIAD ADVISORS LLC

BD
CRD#: 25803
CHAPMANVILLE, WV
Past

October 31, 2005 - August 18, 2006

OSAIC SERVICES, INC.

BD
CRD#: 133763
LOGAN, WV
Past

December 4, 2002 - October 31, 2005

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

September 15, 1999 - December 6, 2002

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

January 27, 1999 - September 1, 1999

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA
Past

February 1, 1994 - December 31, 1998

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

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: 10/5/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/14/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/11/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/28/1994
Investment Company Products/Variable Contracts Representative 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)
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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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