MS
Max J. Safdie
UNION CAPITAL COMPANY
Mill Valley, CA
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CRD#: 408921
MS
Professional summary
Max Jack Safdie is a registered financial advisor currently at UNION CAPITAL COMPANY located in Mill Valley, California.
Max is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Max has worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6, Series 5, PC, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Max Jack Safdie's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Max Jack Safdie'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
August 21, 2017 - Present
UNION CAPITAL COMPANY
RIA
BD
CRD#: 110301
Mill Valley, CA
Current
August 21, 2017 - Present
UNION CAPITAL COMPANY
Office #1: 6083 E. Grant Road, Tucson, AZ 85712Office #2: 6083 E. Grant Rd., Tucson, AZ 85712RIA
BD
CRD#: 110301
Tucson, AZ
Past
September 14, 2016 - August 17, 2017
FINANCIAL WEST GROUP
RIA
CRD#: 16668
Mill Valley, CA
Past
August 1, 2012 - August 17, 2017
FINANCIAL WEST GROUP
BD
CRD#: 16668
SAN FRANCISCO, CA
Past
January 18, 2007 - August 1, 2012
MOORS & CABOT, INC.
BD
CRD#: 594
SAN FRANCISCO, CA
Past
January 6, 2000 - February 9, 2007
WEDBUSH SECURITIES INC.
BD
CRD#: 877
SAN FRANCISCO, CA
Past
August 21, 1996 - January 19, 2000
SUTRO & CO. INCORPORATED
BD
CRD#: 801
SAN FRANCISCO, CA
Past
September 7, 1995 - July 29, 1996
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 13, 1993 - August 30, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 1, 1982 - August 19, 1993
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
February 24, 1978 - June 5, 1982
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
January 9, 1970 - February 24, 1978
REYNOLDS SECURITIES, INC.
BD
CRD#: 712
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(9/19/2017)
RR
California(8/21/2017)
IAR
California(8/21/2017)
RR
Idaho(8/22/2017)
RR
Washington(8/30/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 4/1/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 4/25/1969
Registered Representative ExaminationPrincipal/Supervisory Exam
SRO 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.
