Max Jack Safdie

Union Capital Company

55 Years of Experience

8 DisclosuresBroker

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

Mill Valley, CA

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History

Regulatory History (8)

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.

Regulatory

February 2009

Final

Customer Dispute

September 2008

Settled

Customer Dispute

February 2005

Settled

Employment Separation After Allegations

July 1996

Customer Dispute

January 1996

Settled

Customer Dispute

October 1995

Award / Judgment

Employment Separation After Allegations

October 1982

Regulatory

August 1973

Final

View Full SEC Report How to Read Disclosures

Employment History

Current Registrations

Union Capital Company

August 2017 - Present · 8 yrs 6 mos

Union Capital Company

August 2017 - Present · 8 yrs 6 mos

Union Capital CompanyBroker

August 2017 - Present · 8 yrs 6 mos

Previous Registrations

Financial West Group

September 2016 - August 2017 · 11 mos

Financial West GroupBroker

August 2012 - August 2017 · 5 yrs

Moors & Cabot, INC.Broker

January 2007 - August 2012 · 5 yrs 7 mos

Wedbush Morgan Securities INC.Broker

January 2000 - February 2007 · 7 yrs 1 mo

Sutro & CO. IncorporatedBroker

August 1996 - January 2000 · 3 yrs 5 mos

Prudential Securities IncorporatedBroker

September 1995 - July 1996 · 10 mos

Painewebber IncorporatedBroker

September 1993 - August 1995 · 1 yr 11 mos

Bear, Stearns & CO. INC.Broker

June 1982 - August 1993 · 11 yrs 2 mos

Dean Witter Reynolds INC.Broker

February 1978 - June 1982 · 4 yrs 4 mos

Reynolds Securities, INC.Broker

January 1970 - February 1978 · 8 yrs 1 mo

State Registrations4 states

AZCAIDWA

AdvisorBrokerBoth

Exams

No exam information available for this advisor.