Francisco Almada has been DP/FINOP/Chief Compliance Officer/President/Secretary/Director of Union Capital since December 1999, is a control person of the firm and directly owns under 5% of it.
Union Capital Company is a Tucson, AZ firm with $150M under management, 414 clients and 11 advisers in one office, as of its August 2026 filing.
Francisco Almada’s longest registration is the current one, 19 years at Union Capital since 2007.
- Alamos Capital, LLCAlso current– present · 2 yearsTucson, AZ · Adviser representative · Firm CRD 332985
Investment adviser representative registrations
Francisco Almada is registered as an investment adviser representative in 6 states. The first approvals date from April 2007; the most recent is Nevada, in June 2021.
- ArizonaSince 11 April 2007
- CaliforniaSince 4 December 2007
- IllinoisSince 9 October 2018
- IndianaSince 1 November 2018
- MinnesotaSince 31 October 2018
- NevadaSince 9 June 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 3 | National Commodity Futures Examination | 19 July 2024 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 2 March 2007 |
| Series 28 | Introducing Broker/Dealer Financial Operations Principal Examination | 28 March 2002 |
| Series 24 | General Securities Principal Examination | 4 April 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 January 1987 |
| Series 7 | General Securities Representative Examination | 15 November 1986 |
- Name
- National Commodity Futures Examination
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Introducing Broker/Dealer Financial Operations Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Francisco B Almada
- CRD
- 1575694
- Firm
- Union Capital · CRD 110301
- Role
- DP/FINOP/Chief Compliance Officer/President/Secretary/Director
- Registration
- Investment adviser and broker registrations
- In the industry since
- January 1992
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Francisco Almada work?
Francisco Almada has been DP/FINOP/Chief Compliance Officer/President/Secretary/Director of Union Capital Company since December 1999, and is a control person of the firm.
Is Francisco Almada a financial advisor?
Yes. Francisco Almada has a current investment-adviser registration in Arizona, California, Illinois, Indiana, Minnesota and Nevada, through Union Capital since April 2007.
How many years of experience does Francisco Almada have?
Francisco Almada has 34 years in the financial industry, since January 1992, across 2 adviser firms.
What exams has Francisco Almada passed?
Francisco Almada has passed 8 licensing exams: the Series 7, Series 63, Series 24, Series 28, Series 66, Series 14, Series 99TO and Series 3. The earliest, the Series 7, was passed in November 1986. FINRA credited Francisco Almada with the SIE, which began in October 2018.
Is Francisco Almada registered with FINRA?
Yes. Francisco Almada has a current broker registration, under CRD 1575694.
Source: FINRA BrokerCheck
How can I verify Francisco Almada’s record?
Search CRD 1575694 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Francisco Almada’s full registration record.