Brian Radoo

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CRD#: 2558458

Professional summary

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

Brian is a previously registered financial advisor and started their career in finance in 1994. Prior to being barred, Brian had worked at 7 firms, which includes UNION CAPITAL COMPANY, NEXT FINANCIAL GROUP INC., CHASE INVESTMENT SERVICES CORP., HSBC SECURITIES (USA) INC., HSBC BROKERAGE (USA) INC., CITICORP INVESTMENT SERVICES, CHEMICAL INVESTMENT SERVICES CORP..

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

March 13, 2020 - May 18, 2020

UNION CAPITAL COMPANY

CRD#: 110301

TUCSON, AZ

Past

May 8, 2008 - December 26, 2019

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

NORTH WOODMERE, NY

Past

April 24, 2006 - February 19, 2008

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

RIDGEWOOD, NY

Past

April 21, 2006 - February 19, 2008

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

RIDGEWOOD, NY

Past

January 1, 2005 - April 27, 2006

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

May 12, 2004 - January 1, 2005

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

December 2, 2003 - May 10, 2004

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

April 14, 2003 - December 4, 2003

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

April 23, 1999 - April 11, 2003

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEW YORK, NY

Past

September 18, 1996 - April 11, 2003

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

December 7, 1994 - September 18, 1996

CHEMICAL INVESTMENT SERVICES CORP.

CRD#: 36312

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: 12/7/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/30/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/13/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 10/13/2003

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 7/18/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 26

Date: 9/14/1999

Investment Company Products/Variable Contracts 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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Advisor Monitoring

Firm Stability Insights

Brian Radoo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NEXT FINANCIAL GROUP, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

HSBC SECURITIES (USA) INC.

HSBC BROKERAGE (USA) INC.

CITICORP INVESTMENT SERVICES

HSBC BROKERAGE (USA) INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CHEMICAL INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

UNION CAPITAL COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 12/7/1998

Series 63

Date: 11/30/1994

SIE

Date: 10/1/2018

Series 7

Date: 11/13/1994

Series 9

Date: 10/13/2003

Series 10

Date: 7/18/2003

Series 26

Date: 9/14/1999

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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