Peter C. Naftzger

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CRD#: 3201740

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Peter Charles Naftzger was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 1999. Peter had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

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

April 3, 2013 - January 30, 2017

UNION CAPITAL COMPANY

CRD#: 110301

TUCSON, AZ

Past

July 26, 2012 - January 30, 2017

UNION CAPITAL COMPANY

RIA

CRD#: 110301

Waikoloa, HI

Past

July 22, 2010 - July 29, 2010

NFSG CORPORATION

RIA

CRD#: 130814

NEVADA CITY, CA

Past

July 21, 2010 - July 29, 2010

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

BOCA RATON, FL

Past

September 16, 2003 - April 16, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

SACRAMENTO, CA

Past

September 16, 2003 - April 16, 2010

LPL FINANCIAL LLC

CRD#: 6413

SACRAMENTO, CA

Past

July 1, 2003 - September 19, 2003

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ROSEVILLE, CA

Past

July 1, 2003 - September 19, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

April 30, 1999 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

ROSEVILLE, CA

Past

April 9, 1999 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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: 4/20/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/13/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/30/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/29/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/8/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/23/2004

General Securities 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

Peter C. Naftzger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UNION CAPITAL COMPANY

NFSG CORPORATION

NEWBRIDGE SECURITIES CORPORATION

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

UNION CAPITAL COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 4/20/1999

Series 63

Date: 4/13/1999

SIE

Date: 1/30/2017

Series 31

Date: 5/29/2002

Series 7

Date: 4/8/1999

Series 24

Date: 12/23/2004

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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