Joseph Bodkin has been Director, DP of Union Capital since October 2000, 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.
Investment adviser representative registrations
Joseph Bodkin is registered as an investment adviser representative in 3 states. The first approvals date from December 2007; the most recent is Florida, in August 2016.
- CaliforniaSince 4 December 2007
- FloridaSince 25 August 2016
- TexasSince 22 September 2009
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 24 | General Securities Principal Examination | 2 January 2023 |
| Series 7TO | General Securities Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 29 December 1999 |
| Series 15 | Foreign Currency Options Examination | 24 February 1984 |
| Series 5 | Interest Rate Options Examination | 17 October 1981 |
| Series 63 | Uniform Securities Agent State Law Examination | 25 September 1980 |
| Series 40 | Registered Principal Examination | 6 November 1976 |
| Series 12 | NYSE Branch Manager Examination | 28 October 1976 |
| Series 000 | General Securities Principal Examination | 7 June 1968 |
| Series 1 | Registered Representative Examination | 7 June 1968 |
- Name
- Municipal Securities Representative Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Foreign Currency Options Examination
- Name
- Interest Rate Options Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Registered Principal Examination
- Name
- NYSE Branch Manager Examination
- Name
- General Securities Principal Examination
- Name
- Registered Representative Examination
- Full name
- Joseph Francis Bodkin
- CRD
- 24606
- Firm
- Union Capital · CRD 110301
- Role
- Director, DP
- Registration
- Investment adviser and broker registrations
- In the industry since
- May 1970
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Joseph Bodkin work?
Joseph Bodkin has been Director, DP of Union Capital Company since October 2000, and is a control person of the firm.
Is Joseph Bodkin a financial advisor?
Yes. Joseph Bodkin has a current investment-adviser registration in California, Florida and Texas, through Union Capital since December 2007.
How many years of experience does Joseph Bodkin have?
Joseph Bodkin has 56 years in the financial industry, since May 1970, across 1 adviser firm.
What exams has Joseph Bodkin passed?
Joseph Bodkin has passed 12 licensing exams: the Series 000, Series 1, Series 12, Series 40, Series 63, Series 5, Series 15, Series 65, Series 24, Series 7TO, Series 99TO and Series 52TO. The earliest, the Series 000, was passed in June 1968. FINRA credited Joseph Bodkin with the SIE, which began in October 2018.
Is Joseph Bodkin registered with FINRA?
Yes. Joseph Bodkin has a current broker registration, under CRD 24606.
Source: FINRA BrokerCheck
How can I verify Joseph Bodkin’s record?
Search CRD 24606 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Joseph Bodkin’s full registration record.