Joseph Francis Bodkin
Professional Summary
Joseph Francis Bodkin, who also goes by Joseph F Bodkin, is a registered financial advisor currently at UNION CAPITAL COMPANY located in Tucson, Arizona. Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1968. Joseph has worked at 14 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, Series 99TO, SIE, Series 15, Series 5, Series 000, Series 1, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joseph F Bodkin
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
58 years in the financial services industry
Current & Past Employments
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Current Firm
INVERSIONISTA ONLINE, INC. | UNION CAPITAL COMPANY | INVERSIONISTA ONLINE.COM, INC.
Contact Information
Main Address
6083 E. Grant Road, Tucson, AZ 85712Mailing Address
6083 E. Grant Road, Tucson, AZ 85712Phone Number
(520) 664-2001Established
Arizona since 12/30/1999Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
13SEC notice filing (16 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
FINRA licenses (43 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
414AUM (Assets Under Management)
$150,000,000Disclosures
Regulatory Event
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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.
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Primary Firm SEC Registration
INVERSIONISTA ONLINE, INC. | UNION CAPITAL COMPANY | INVERSIONISTA ONLINE.COM, INC.
State Registrations and Notice Filings
(5/21/2004)
(9/26/2022)
(12/4/2007)
(2/18/2020)
(5/29/2013)
(8/25/2016)
(10/5/2021)
(6/9/2020)
(3/24/2021)
(12/10/2020)
(10/15/2009)
(3/25/2021)
(7/27/2021)
(9/19/2017)
(2/7/2013)
(6/28/2011)
(11/30/2016)
(8/4/2009)
(9/22/2009)
(6/28/2018)
(6/22/2021)
(9/9/2021)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 15 — Foreign Currency Options Examination
Passed Feb 1984Series 5 — Interest Rate Options Examination
Passed Oct 1981Series 000 — General Securities Principal Examination
Passed Jun 1968Series 1 — Registered Representative Examination
Passed Jun 1968Series 40 — Registered Principal Examination
Passed Nov 1976Series 12 — NYSE Branch Manager Examination
Passed Oct 1976SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Joseph Francis Bodkin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Francis Bodkin's CRS (Customer Relationship Summary).
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