Max Jack Safdie

Current Employers

Union Capital Company

6083 E. Grant Rd., Tucson, AZ 85712 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2017-08-21

CA RA
APPROVED

Since 2017-08-21

Branch Locations

Mill Valley, CA • United States

6083 E. Grant Road, Tucson, AZ 85712 • USA

6083 E. Grant Rd., Tucson, AZ 85712 • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Financial West Group	Westlake Village	CA	07/2012	08/2017
Union Capital Company	Tucson	AZ	08/2017	Present

07/2012 → 08/2017

Financial West Group

Westlake Village, CA
08/2017 → Present

Union Capital Company

Tucson, AZ

Previous Registrations

2016-09-14 → 2017-08-17

Financial West Group

San Francisco, CA

Mill Valley, CA

Los Angeles, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-12-08
S63	Uniform Securities Agent State Law Examination	1981-05-27

S65 Uniform Investment Adviser Law Examination

2000-12-08
S63 Uniform Securities Agent State Law Examination

1981-05-27