JB
Joseph F. Bodkin
UNION CAPITAL COMPANY
Tucson, AZ 85712
Some features on this profile are disabled
CRD#: 24606
JB
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 24, Series 40 and Series 12 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph F Bodkin
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.
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).
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
December 4, 2007 - Present
UNION CAPITAL COMPANY
Office #1: 6083 East Grant Road, Tucson, AZ 85712Office #2: 6083 E. Grant Rd., Tucson, AZ 85712RIA
BD
CRD#: 110301
Tucson, AZ
Current
August 4, 2003 - Present
UNION CAPITAL COMPANY
Office #1: 6083 East Grant Road, Tucson, AZ 85712Office #2: 6083 E. Grant Road, Tucson, AZ 85712RIA
BD
CRD#: 110301
Tucson, AZ
Past
September 22, 2000 - May 14, 2002
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
October 20, 1997 - May 3, 2000
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
August 28, 1997 - October 1, 1997
CGS FINANCIAL INC.
BD
CRD#: 43125
SCOTTSDALE, AZ
Past
June 14, 1997 - August 14, 1997
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
RED BANK, NJ
Past
September 6, 1996 - June 6, 1997
GEARY SECURITIES, INC.
BD
CRD#: 38182
OKLAHOMA CITY, OK
Past
November 13, 1995 - July 8, 1996
WESTAMERICA INVESTMENT GROUP
BD
CRD#: 6626
SCOTTSDALE, AZ
Past
May 11, 1993 - November 6, 1995
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
ST. LOUIS, MO
Past
July 14, 1986 - April 21, 1993
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
July 15, 1980 - July 28, 1986
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
September 16, 1977 - December 21, 1983
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
September 2, 1977 - July 6, 1980
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Past
October 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
BD
CRD#: 7238
Past
June 10, 1968 - November 14, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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
Arizona(5/21/2004)
RR
Arkansas(9/26/2022)
IAR
California(12/4/2007)
RR
California(2/18/2020)
RR
Florida(5/29/2013)
IAR
Florida(8/25/2016)
RR
Georgia(10/5/2021)
RR
Illinois(6/9/2020)
RR
Iowa(3/24/2021)
RR
Maryland(12/10/2020)
RR
Michigan(10/15/2009)
RR
Minnesota(3/25/2021)
RR
Nebraska(7/27/2021)
RR
Nevada(9/19/2017)
RR
Ohio(2/7/2013)
RR
Oklahoma(6/28/2011)
RR
Oregon(11/30/2016)
RR
Texas(8/4/2009)
IAR
Texas(9/22/2009)
RR
Utah(6/28/2018)
RR
Washington(6/22/2021)
RR
Wisconsin(9/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 2/24/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
Series 000
Date: 6/7/1968
General Securities Principal ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 6/7/1968
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 11/6/1976
Registered Principal ExaminationPrincipal/Supervisory Exam
RR
Series 12
Date: 10/28/1976
NYSE Branch Manager ExaminationSRO 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.
Company Information
UNION CAPITAL COMPANY
CRD#: 110301Tucson, AZ 85712TRUST BUT VERIFY
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