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6083 E. Grant Rd., Tucson, AZ 85712 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
| NV | RA | APPROVED | 2025-01-01 |
| IN | RA | APPROVED | 2018-11-01 |
| MN | RA | APPROVED | 2018-10-31 |
| IL | RA | APPROVED | 2018-10-09 |
| AZ | RA | APPROVED | 2007-04-11 |
Branch Locations
6083 E. Grant Rd., Tucson, AZ 85712 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-10-22 |
Branch Locations
1 disclosure category 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Union Capital Company | Tucson | AZ | 12/1999 | Present |
| Northeast Securities, Inc. | Mitchell Field | NY | 07/2015 | 09/2016 |
| Alamos Capital, Llc | Tucson | AZ | 09/2024 | Present |
| Hilltop Capital Company | Tucson | AZ | 09/2024 | Present |
1. Principal and Investment Advisor of a separate SEC registered IA, Alamos Capital, Fund Advisor, started 09/2024, Investment Related: 2. Hilltop Capital Company, sole owner, NFA IB Member, sales of derivative securities, Investment Related. Time spent for both entities is 20hrs weekly, all during market hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-03-02 |
| S63 | Uniform Securities Agent State Law Examination | 1987-01-19 |
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