Joseph Francis Bodkin

Union Capital Company

55 Years of Experience

1 DisclosureBroker

View SEC Summary

Areas of Practice

Investment Management

Union Capital Company

Compensation

Commission-BasedFee-Only (AUM)

Firm Size

11 advisors

Number of Clients

517 clients

Average Client Portfolio

$342K average

Assets Under Management

$177.0M

Fee Structure

Minimum Investment:$25K

Financial Planning:Investment management only

Location

6083 E. Grant Road, Tucson, AZ, 85712

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History

Regulatory History (1)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

February 1999

Settled

View Full SEC Report How to Read Disclosures

Employment History

Current Registrations

Union Capital Company

December 2007 - Present · 18 yrs 2 mos

Union Capital CompanyBroker

August 2003 - Present · 22 yrs 6 mos

Previous Registrations

Fsc Securities CorporationBroker

September 2000 - May 2002 · 1 yr 8 mos

Walnut Street Securities, INC.Broker

October 1997 - May 2000 · 2 yrs 7 mos

Arizona Capital Group, INC.Broker

August 1997 - October 1997 · 2 mos

First Montauk Securities CORP.Broker

June 1997 - August 1997 · 2 mos

Capital West Securities, INC.Broker

September 1996 - June 1997 · 9 mos

Westamerica Investment GroupBroker

November 1995 - July 1996 · 8 mos

Stifel, Nicolaus & Company, IncorporatedBroker

May 1993 - November 1995 · 2 yrs 6 mos

Dean Witter Reynolds INC.Broker

July 1986 - April 1993 · 6 yrs 9 mos

Shearson Lehman Brothers INC.Broker

July 1980 - July 1986 · 6 yrs

Prudential-Bache Securities INC.Broker

September 1977 - December 1983 · 6 yrs 3 mos

Smith Barney, Harris Upham & CO., IncorporatedBroker

September 1977 - July 1980 · 2 yrs 10 mos

Bache Halsey Stuart INC.Broker

October 1976 - September 1977 · 11 mos

Merrill Lynch, Pierce, Fenner & Smith, INC.Broker

June 1968 - November 1976 · 8 yrs 5 mos

State Registrations19 states

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AdvisorBrokerBoth

Exams

No exam information available for this advisor.