CRD #110301 · FINRA BrokerCheck + SEC IAPD

Union Capital Company

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Union Capital Company ranks #3,272 of 20,055 by disclosure count (most disclosures first). Among firms registered in AZ, it ranks #7 of 25 on the same disclosure sort used on the state browse page. Union Capital Company carries 2 BrokerCheck disclosures across 11 branch offices - light load for a regional firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
11
branch offices
2
disclosures
#3,272 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 110301 Union Capital Company

Union Capital Company · Grade B · 2 disc · 0.18/office · Regional firm

  • CRD 110301
  • GRADE B
  • DISC 2
  • REG 2
  • ARB 0
  • CIV 0
  • BRANCH 11
  • PER-OFF 0.18
  • RANK #3,272 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: GAR Wood Securities, LLC (0.19 disc/office)

GAR Wood Securities, LLC0.19Spire Securities, LLC0.19Foreside Distribution S…0.17Union Capital Company (this)0.18
Disclosures per office among regional firm peers (lower is cleaner)

Union Capital Company ranks #3,272 of 20,055 by disclosure count among graded broker-dealers; light load at 0.18 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

11 offices

FINRA: Small firm

Total disclosures

2 events

On FINRA BrokerCheck

Regulatory events

2 actions

100% of all disclosures

Disclosures per office

0.18 per office

2 ÷ 11 offices

Union Capital Company vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 79% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 2
Arbitrations 0
Civil Events 0
Total 2

Counts for Union Capital Company reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 2 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Tucson, AZ, 85712
Formed
12/30/1999
State of Formation
Arizona
CRD Number
110301
SEC Number
53127

Regulator-heavy mix

Union Capital Company in the heavier-disclosure third

Union Capital Company carries 2 BrokerCheck disclosures across 11 branch offices - a heavier-third raw book among graded firms (#3,272 of 20,055). Regulator-initiated events are 100% of the book (2 regulatory / 0 arbitration / 0 civil).

100% of Union Capital Company's 2 disclosures are regulator-initiated (2 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Union Capital Company's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Arizona cohort · 0.34× state average

Union Capital Company sits below the Arizona disclosure average

Union Capital Company reports 2 BrokerCheck disclosures, 0.34× the Arizona average of 5.9, lighter than most of the 25 graded firms filed there.

In Arizona, 17 firms carry Grade A and 1 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Arizona state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Union Capital Company sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Union Capital Company ranks #3,272 of 20,055 by disclosure count (most disclosures first). Among firms registered in AZ, it ranks #7 of 25 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Union Capital Company?
A grade of B reflects Union Capital Company's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 2 total disclosures across 11 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Union Capital Company have?
Union Capital Company has 2 total FINRA disclosures, including 2 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Union Capital Company?
Union Capital Company operates 11 branch offices and is classified by FINRA as a small firm, registered in AZ (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Union Capital Company's disciplinary record?
You can verify Union Capital Company's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 110301. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Union Capital Company because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Union Capital Company carries 2 disclosures across 11 branch offices (about 0.18 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Union Capital Company, both outside AZ so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.