Articles Tagged with Union Capital Company

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George HalladPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2018 indicate that former Arizona-based Union Capital Company broker/adviser George Hallad has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hallad (CRD# 234371).

George Hallad has spent 45 years in the securities industry and was most recently registered with Union Capital Company in Tucson, Arizona (2009-2017). Previous registrations include Wedbush Morgan Securities in Palm Desert, California (2003-2009); Torrey Pines Securities in San Diego, California (1999-2003); JW Charles Securities in Boca Raton, Florida (1998); Whale Securities Company in New York, New York (2997-1998); Prudential Securities Company in New York, New York (1969-1996); Bache Halsey Stuart (1976); and Bache & Company (1969-1976). He has passed eight securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 27, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 21, 1983; Series 5 (Interest Rate Options Examination), which he obtained on November 19, 1981; Series 000 (General Securities Principal Examination), which he obtained on April 21, 1969; Series 1 (Registered Representative Examination), which he obtained on April 21, 1969; Series 4 (Registered Options Principal Examination), which he obtained on September 13, 1977; Series 40 (Registered Principal Examination), which he obtained on December 5, 1974; and Series 12 (NYSE Branch Manager Examination), which he obtained on November 21, 1974. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.

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Francisco AlmadaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2018 indicate that Arizona-based Union Capital Company broker/adviser Francisco Almada has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Almada (CRD# 1575694).

Francisco Almada has spent 26 years in the securities industry and has been registered with Union Capital Company in Tucson, Arizona since 2001. Previous registrations include Northeast Securities in Tucson, Arizona (2015-2016); Torrey Pines Securities in San Diego, California (1999-2001); Bench Securities Corporation in Fort Lee, New Jersey (1996-1997); WestAmerica Investment Group in Scottsdale, Arizona (1996); Wells Fargo Securities in San Francisco, California (1994); Banc One Arizona Investment Services Corporation (1993-1994); Lehman Brothers in New York, New York (1992-1993); Prudential-Bache Securities in New York, New York (1989-1990); and Dean Witter Reynolds in Purchase, New York (1986-1989). He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 2, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 19, 1987; Series 3 (National Commodity Futures Examination), which he obtained on January 20, 2009; Series 7 (General Securities Representative Examination), which he obtained on November 15, 1986; Series 28 (Introducing Broker/Dealer Financial Operations Principal Examination), which he obtained on March 28, 2002; and Series 24 (General Securities Principal Examination), which he obtained on April 4, 1997. He is a registered broker and investment adviser with six US states: Arizona, California, Colorado, Georgia, Hawaii, and Indiana.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.