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AC

Anna A. Connot

Some features on this profile are disabled
CRD#: 4797987
AC

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.

Anna Acosta Connot, who also goes by Anna Lose Acosta, Anna P Lose, was a registered financial professional .

Anna is a previously registered financial professional and started their career in finance in 2004. Anna had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anna Lose Acosta | Anna P Lose

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

October 3, 2017 - September 21, 2018

UNION CAPITAL COMPANY

RIA
CRD#: 110301
Las Vegas, NV
Past

September 5, 2017 - September 21, 2018

UNION CAPITAL COMPANY

BD
CRD#: 110301
Las Vegas, NV
Past

July 21, 2016 - August 31, 2017

ACCELERATED CAPITAL GROUP

BD
CRD#: 41270
Las Vegas, NV
Past

July 22, 2014 - October 14, 2025

OSAIC SERVICES, INC.

RIA
CRD#: 133763
LAS VEGAS, NV
Past

July 7, 2014 - March 30, 2016

OSAIC SERVICES, INC.

BD
CRD#: 133763
LAS VEGAS, NV
Past

January 6, 2012 - October 14, 2025

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
LAS VEGAS, NV
Past

January 6, 2012 - October 17, 2012

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
LAS VEGAS, NV
Past

October 24, 2011 - January 6, 2012

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA
CRD#: 139233
LAS VEGAS, NV
Past

April 2, 2008 - January 6, 2012

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
LAS VEGAS, NV
Past

April 3, 2007 - March 24, 2008

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
NORTH LAS VEGAS, NV
Past

March 29, 2007 - March 24, 2008

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
NORTH LAS VEGAS, NV
Past

September 15, 2004 - September 8, 2005

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/2/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/21/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/14/2004
General Securities Representative Examination

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (43 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
UNION CAPITAL HOLDINGS, CORP.PARENT COMPANY/OWNER/SHAREHOLDER
ALMADA, FRANCISCO BDP/FINOP/CHIEF COMPLIANCE OFFICER/PRESIDENT/SECRETARY/DIRECTOR1575694
BODKIN, JOSEPH FRANCISDIRECTOR, DP24606

Regulatory assets under management

Total Number of Accounts517
AUM (Assets Under Management)$ 177,000,000

Disclosures

Regulatory Event2

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.

Company Information

UNION CAPITAL COMPANY

CRD#: 110301

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