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RL

Richard Labare

Some features on this profile are disabled
CRD#: 717987
RL

Professional summary

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

Richard is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Richard had worked at 10 firms, which includes UNION CAPITAL COMPANY, MORGAN STANLEY & CO. LLC, WEDBUSH SECURITIES INC., WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC, MORGAN STANLEY DW INC., WEST COAST SECURITIES CORPORATION.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rick Labare

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

August 27, 2008 - January 28, 2019

UNION CAPITAL COMPANY

RIA
CRD#: 110301
RANCHO MIRAGE, CA
Past

July 30, 2008 - January 28, 2019

UNION CAPITAL COMPANY

BD
CRD#: 110301
Rancho Mirage, CA
Past

July 27, 2007 - August 5, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
PALM DESERT, CA
Past

July 27, 2007 - August 5, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
PALM DESERT, CA
Past

January 9, 2007 - August 1, 2007

WEDBUSH SECURITIES INC.

RIA
CRD#: 877
PALM DESERT, CA
Past

August 23, 2004 - August 1, 2007

WEDBUSH SECURITIES INC.

BD
CRD#: 877
PALM DESERT, CA
Past

July 1, 2003 - September 9, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
INDIAN WELLS, CA
Past

July 1, 2003 - September 9, 2004

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

March 27, 1998 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA
CRD#: 7471
WALNUT CREEK, CA
Past

January 24, 1997 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

July 31, 1993 - January 28, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 11, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

July 29, 1982 - April 11, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

March 10, 1981 - November 17, 1982

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

October 28, 1980 - January 31, 1981

WEST COAST SECURITIES CORPORATION

BD
CRD#: 7899

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
Series 63
Date: 6/17/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1980
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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