Tucson, AZ Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Union Capital Company
Team
Firm-wide stats for Union Capital Company
About
Union Capital Company serves individuals, trusts, estates, charitable organizations and corporations through a ten-advisor team, managing approximately $150 million across about 414 client accounts. The firm offers portfolio management on both discretionary and non‑discretionary bases, with custody of client assets maintained at RBC Capital Markets and TD Ameritrade Institutional.
Investment programs are constructed using Markowitz Modern Portfolio Theory with allocations to mutual funds, ETFs and individual securities, and the firm also uses charting, fundamental and technical analysis and, at times, covered‑call strategies. While it can act discretely, the brochure reports roughly $3 million in discretionary AUM and $147 million in non‑discretionary AUM, so most client assets are managed on a recommendation/approval (non‑discretionary) basis.
Union Capital is dual‑registered as an SEC investment adviser and a FINRA/SIPC broker‑dealer, and many advisory agents are also registered representatives and licensed insurance agents who may receive commissions, 12b‑1 fees or insurance commissions when implementing recommendations. The firm discloses affiliated entities and past regulatory actions (AWCs in 2019 and 2024) and emphasizes portfolio management services rather than standalone financial planning.
Based on Union Capital Company
Expertise
Based on Union Capital Company
Location
6083 E. Grant Rd.
Tucson AZ 85712
Advisors at this office
4
Advisors at this office
Francisco A
Series 63, Series 66
Tucson, AZ
Union Capital Company
Francisco Almada is a financial advisor with Union Capital Company in Tucson, AZ, holding Series 63 and Series 66 credentials with 34 years of industry experience. He has been with Union Capital Company since 1999 and is also the principal and investment advisor of Alamos Capital, LLC, and sole owner of Hilltop Capital Company. Union Capital Company serves individuals, trusts, estates, charitable organizations, and corporations through a team of ten advisors, managing approximately $150 million across about 414 client accounts. The firm employs a portfolio management approach based on Modern Portfolio Theory, utilizing mutual funds, ETFs, individual securities, and occasional covered-call strategies.
Samuel A
Series 63, Series 65
Tucson, AZ
Union Capital Company
Samuel Almada is a financial advisor with Union Capital Company in Tucson, AZ, holding Series 63 and Series 65 licenses and with three years of industry experience. Prior to his current role, he worked at Alamos Capital, LLC. In addition to advising, Almada is involved in trading and market research. Union Capital Company is a team-based firm serving individuals, trusts, estates, charitable organizations, and corporations. The firm manages approximately $150 million across around 414 client accounts, offering portfolio management using modern portfolio theory alongside fundamental, technical, and charting analysis.
Joseph B
Series 63, Series 65
Tucson, AZ
Union Capital Company
Joseph Bodkin is a financial advisor at Union Capital Company with 55 years of industry experience. He has been with Union Capital Company since 2000. Bodkin holds Series 63 and Series 65 licenses. Union Capital Company provides portfolio management and advisory services to individuals, trusts, estates, charitable organizations, and corporations. The firm employs a process-driven approach using modern portfolio theory and offers both discretionary and non-discretionary services through a dual broker-dealer and registered investment adviser model.
Edward C
Series 63, Series 65, Series 66
Tucson, AZ
Union Capital Company
Edward Carpenter is a financial advisor at Union Capital Company with 26 years of industry experience. He holds Series 63, 65, and 66 licenses. His work history includes roles at Colonial Life Insurance, Humana, and Uber Technologies. Carpenter owns two insurance and fixed annuities businesses, Money Benefit, PLLC, and Final Expense Plus, PLLC, which operate outside of securities trading hours. Union Capital Company serves individuals, trusts, estates, charitable organizations, and corporations through a team of ten advisors managing approximately $150 million across about 414 client accounts. The firm employs portfolio management strategies based on Modern Portfolio Theory, utilizing mutual funds, ETFs, individual securities, and various analysis techniques.
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