SH
Steven R. Hill
UNION CAPITAL COMPANY
LEANDER, TX
Some features on this profile are disabled
CRD#: 4288639
SH
Professional summary
Steven Rand Hill is a registered financial advisor currently at UNION CAPITAL COMPANY located in Leander, Texas.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Steven has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 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.
Non-Investment Related. Nature of business - Storage. Affordable Boat and RV Storage. Hill Park Partners, LLC 285 S. A.N Grimes Blvd, Round Rock, TX 78664. Liberty Hill Partners, LLC. 601 CR 263 Leander, TX 78641. Baytown Archer Partners, LLC. 309 W. Archer Rd, Baytown, TX 77521. Title - Member/manager. No activity during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Rand Hill's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Rand Hill'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
May 1, 2017 - Present
UNION CAPITAL COMPANY
RIA
BD
CRD#: 110301
LEANDER, TX
Current
October 9, 2009 - 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
August 24, 2009 - October 2, 2009
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
LEANDER, TX
Past
June 29, 2007 - September 1, 2009
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
AUSTIN, TX
Past
September 30, 2004 - June 29, 2007
LAIDLAW & COMPANY (UK) LTD.
BD
CRD#: 119037
AUSTIN, TX
Past
January 31, 2002 - November 1, 2004
SANDS BROTHERS & CO., LTD.
BD
CRD#: 26816
NEW YORK, NY
Past
January 2, 2002 - February 7, 2002
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
April 27, 2001 - January 2, 2002
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
November 22, 2000 - January 18, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
November 22, 2000 - January 18, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Alabama(2/22/2010)
RR
Louisiana(1/17/2010)
RR
Texas(10/9/2009)
IAR
Texas(5/1/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
