Leonard C. Brown

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CRD#: 3079259

Professional summary

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

Leonard is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, Leonard had worked at 8 firms, which includes UNION CAPITAL COMPANY, UNIFIED WEALTH MANAGEMENT LLC, GUNNALLEN FINANCIAL INC, ALLSTATE FINANCIAL SERVICES LLC, SUNAMERICA SECURITIES INC., RAYMOND JAMES FINANCIAL SERVICES INC., MORGAN STANLEY DW INC., MCLAUGHLIN PIVEN VOGEL SECURITIES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Lenny Brown

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 27, 2007 - September 21, 2009

UNION CAPITAL COMPANY

RIA

CRD#: 110301

PHOENIX, AZ

Past

September 14, 2007 - September 21, 2009

UNION CAPITAL COMPANY

CRD#: 110301

TUCSON, AZ

Past

May 30, 2007 - August 1, 2007

UNIFIED WEALTH MANAGEMENT, LLC

RIA

CRD#: 133202

PEORIA, AZ

Past

March 2, 2007 - August 17, 2007

GUNNALLEN FINANCIAL, INC

CRD#: 17609

PEORIA, AZ

Past

May 3, 2005 - February 21, 2007

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

CAVE CREEK, AZ

Past

June 12, 2003 - February 7, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

December 16, 2002 - May 2, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

December 18, 2001 - November 29, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 9, 1998 - December 5, 2001

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

CRD#: 7404

NEW YORK, NY

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: 5/29/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/9/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/8/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 7/24/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/4/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/7/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/30/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/26/2001

General Securities Sales Supervisor - Options Module 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

Leonard C. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UNION CAPITAL COMPANY

UNIFIED WEALTH MANAGEMENT, LLC

GUNNALLEN FINANCIAL, INC

ALLSTATE FINANCIAL SERVICES, LLC

SUNAMERICA SECURITIES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

MORGAN STANLEY DW INC.

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

Primary Firm SEC Registration

UNION CAPITAL COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 5/29/2007

Series 66

Date: 11/9/2000

Series 63

Date: 7/8/1998

Series 31

Date: 7/24/2002

Series 7

Date: 11/4/1998

Series 6

Date: 7/7/1998

Series 10

Date: 7/30/2001

Series 9

Date: 6/26/2001

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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