Union Capital Company is registered with the Securities and Exchange Commission (SEC) as a broker-dealer and investment adviser, and is a member firm of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC).
Union Capital was built around the idea that the Financial Advisor is more than a number. Whether you are a securities broker and/or investment advisor or Hybrid RIA, we are here to enrich your practice. Union Capital understands the challenges that are presented to financial advisors and we have the right staff to navigate you. From compliance questions to our expert transition team, Union Capital is here for you. This family owned independent broker-dealer has 5 core values:
These core values represent how we operate on a day to day basis. We strive to create the best environment for our financial advisors so they can achieve success for their clients. We are consistently monitoring our evolving industry and continue to show our strength in our friendly compliance, advanced technology and our transition expertise.
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