# UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER of SCOTTSDALE, AZ is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 20804
- Type: SEC-registered investment adviser
- SEC file number: 801-57198
- Location: 7333 EAST DOUBLETREE RANCH RD, SUITE 120, SCOTTSDALE, AZ, 85258
- Phone: 480-991-0225
- Latest filing: 2026-06-18
- Regulatory AUM: $12.8B
- Discretionary AUM: $607.1M
- Non-discretionary AUM: $12.2B
- Clients: 620
- Accounts: 47,883

## Business model

- Compensation: % of AUM, Hourly, Fixed, Commissions
- Clients served: Individuals, High net worth, Pensions, Charities

## Officers, owners & control persons (17)

| Name | Role | Location |
| --- | --- | --- |
| Michael A Baker | CHIEF EXECUTIVE OFFICE (CEO); PRESIDENT | — |
| Kenneth William Jr Oliverio | EXECUTIVE VICE PRESIDENT, CHIEF MARKETING OFFICER; SHAREHOLDER | — |
| Dave B Hauer | VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER | — |
| Chad Travis Shindel | TREASURER; VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO) | — |
| Sheila June Cuffari-Agasi | EXECUTIVE VICE PRESIDENT; SHAREHOLDER | — |
| OLIVER THOMAS HENRY | CHIEF EXECUTIVE OFFICE (CEO); CHIEF EXECUTIVE OFFICER (CEO); CONSULTANT (+4 more) | — |
| GEBERT JULIE JANE | CHEIF COMPLIANCE OFFICER (CCO); CHIEF COMPLIANCE OFFICER (CCO); VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER (CCO) | — |
| VERNIA JEANNETTE ANN | VICE PRESIDENT, MARKETING | — |
| SHINDEL DAVID ALAN | CHIEF EXECUTIVE OFFICE (CEO); CHIEF EXECUTIVE OFFICER (CEO); EXECUTIVE VICE PESIDENT (+4 more) | — |
| BAKER MICHAEL A | CFO / VICE PRESIDENT FINANCE; CHIEF EXECUTIVE OFFICE (CEO); EXECUTIVE VICE PRESIDENT FINANCE / CHIEF FINANCIAL OFFICER (CFO) (+4 more) | — |
| SCHAEFER THOMAS CARL | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO); EXECUTIVE VICE PRESIDENT, DIRECTOR OF UPG | — |
| HALL DOUGLAS CHRISTOPHER | VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER (CCO) | — |
| HAUER DAVE B | VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER | — |
| OLIVERIO KENNETH WILLIAM JR | EXECUTIVE VICE PRESIDENT, CHIEF MARKETING OFFICER; SHAREHOLDER; SVP, CHIEF MARKETING OFFICER (+2 more) | — |
| SHINDEL CHAD TRAVIS | TREASURER; VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO) | — |
| CUFFARI-AGASI SHEILA JUNE | EXECUTIVE VICE PRESIDENT; SHAREHOLDER | — |
| SHINDEL TRICIA THIEL | EXECUTOR | — |


## Disclosures (80)

_Showing 10 of 11 distinct disclosure events._

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2023-05-10 | regulatory | FAILURE TO SUPERVISE. | Final | $50K |
| 2022-06-17 | regulatory | ALLEGED VIOLATION OF FINRA RULE 2010 BY OMITTING MATERIAL FACTS. | Final | $40K |
| 2022-05-09 | regulatory | THE STATE ALLEGES UNITED PLANNERS FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER VIOLATED MASS. GEN.LAWS CH. 110A ? 204(A)(2)(G) AND MASS. GEN.LAWS CH. 110A ? 204(A)(2)(J). | Final | $100K |
| 2022-05-09 | regulatory | THE STATE ALLEGES UNITED PLANNERS FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER VIOLATED MASS. GEN.LAWS CH. 110A § 204(A)(2)(G) AND MASS. GEN.LAWS CH. 110A § 204(A)(2)(J). | Final | $100K |
| 2018-02-14 | regulatory | THE STATE ALLEGES UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER FAILED IN ITS DUTY TO SUPERVISE THE OUTSIDE BUSINESS ACTIVITIES OF A REPRESENTATIVE. | Final | $100K |
| 2017-08-01 | regulatory | THE FIRM FILED A FINRA AWC ON FORM BD; HOWEVER INADVERTENTLY FORGOT TO NOTIFY NIPR AT THAT SAME TIME (WITHIN 30 DAYS). THIS WAS SUBSEQUENTLY FOUND BY THE FIRM; HOWEVER IT WAS AFTER THE 30 DAYS. | Final | $500 |
| 2016-03-21 | regulatory | THE FIRM'S SUPERVISORY SYSTEMS AND PROCEDURES WERE INSUFFICIENT TO SUPERVISE THE USE OF CONSOLIDATED STATEMENTS WITH THE PUBLIC. | Final | $225K |
| 2012-07-26 | regulatory | FINRA RULES 2010, 2330(D), NASD RULES 2110, 2330(C), 2330(D), 3010 - UNITED PLANNERS FINANCIAL SERVICES OF AMERICA, A LIMITED PARTNERSHIP FAILED TO HAVE IN PLACE A SUPERVISORY SYSTEM REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS, PROCEDURES AND NASD RULES WITH RESPECT TO… | Final | $200K |
| 2011-07-18 | regulatory | FINRA PROVIDED NOTIFICATION OF AN INVESTIGATION, AND THAT IT MADE A PRLIMINARY DETERMINATION TO RECOMMEND DISCIPLINARY ACTION. | Final | $200K |
| 1999-03-19 | regulatory | THE NASD ALLEGED THAT THE FIRM FAILED TO: INSPECT CERTAIN OFFICES OF SUPERVISORY JURISDICTION ANNUALLY AND TO ESTABLISH A SCHEDULE FOR THE INSPECTION OF OFFICES (CONDUCT RULE 3010(C); CONDUCT ANNUAL COMPLIANCE INTERVIEW WITH CERTAIN REGISTERED REPRESENTATIVES \[CR 3010(A)(7)\] TO REPORT FIVE CUSTOMER… | Final | $50K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/20804/brochure
- Similar advisers: https://search.stillhousedata.com/firm/20804/similar
- Related entities: https://search.stillhousedata.com/firm/20804/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/20804

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Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.