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Joseph Bodkin

Union Capital Company
56 Years of Experience
Tucson, AZ
1 DisclosureBroker
View SEC Summary
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Joseph Bodkin is a registered investment advisor at Union Capital Company, based in Tucson, AZ, with 56 years of industry experience. Joseph is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Insurance Planning, Investment Management, Retirement Planning. Their firm serves 414 clients with $150M in assets under management.

Union Capital Company
Compensation
Commission-BasedFee-Only (% of Portfolio)
Firm Size
10 advisors
Number of Clients
414 clients
Average Client Portfolio
$362K average
Assets Under Management
$150.0M

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $5.0M2.00%
$5.0M - $10.0M1.75%
$10M+1.75%

Fees range from 0.60% to 2.00% for assets up to $5M, and 0.40% to 1.75% for assets between $5M and $10M. Fees are negotiable for accounts over $10M and depending on account size, prior relationship, or other factors.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

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 ReportHow to Read Disclosures
Employment History
Current Registrations
Union Capital Company
December 2007 - Present · 18 yrs 10 mos
Union Capital CompanyBroker
August 2003 - Present · 23 yrs 2 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
ARAZCAFLGAIAILMDMIMNNENVOHOKORTXUTWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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