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 (CRD 20804). Regulatory assets under management: $12.8B. This firm reports disciplinary history on Form ADV.

Registration

Business model

Compensation: % of AUM, Hourly, Fixed, Commissions.

Clients served: Individuals, High net worth, Pensions, Charities.

Officers, owners & control persons (17)

NameRoleLocation
Michael A BakerCHIEF EXECUTIVE OFFICE (CEO); PRESIDENT
Kenneth William Jr OliverioEXECUTIVE VICE PRESIDENT, CHIEF MARKETING OFFICER; SHAREHOLDER
Dave B HauerVICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER
Chad Travis ShindelTREASURER; VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO)
Sheila June Cuffari-AgasiEXECUTIVE VICE PRESIDENT; SHAREHOLDER
OLIVER THOMAS HENRYCHIEF EXECUTIVE OFFICE (CEO); CHIEF EXECUTIVE OFFICER (CEO); CONSULTANT (+4 more)
GEBERT JULIE JANECHEIF COMPLIANCE OFFICER (CCO); CHIEF COMPLIANCE OFFICER (CCO); VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER (CCO)
VERNIA JEANNETTE ANNVICE PRESIDENT, MARKETING
SHINDEL DAVID ALANCHIEF EXECUTIVE OFFICE (CEO); CHIEF EXECUTIVE OFFICER (CEO); EXECUTIVE VICE PESIDENT (+4 more)
BAKER MICHAEL ACFO / VICE PRESIDENT FINANCE; CHIEF EXECUTIVE OFFICE (CEO); EXECUTIVE VICE PRESIDENT FINANCE / CHIEF FINANCIAL OFFICER (CFO) (+4 more)
SCHAEFER THOMAS CARLEXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO); EXECUTIVE VICE PRESIDENT, DIRECTOR OF UPG
HALL DOUGLAS CHRISTOPHERVICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER (CCO)
HAUER DAVE BVICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER
OLIVERIO KENNETH WILLIAM JREXECUTIVE VICE PRESIDENT, CHIEF MARKETING OFFICER; SHAREHOLDER; SVP, CHIEF MARKETING OFFICER (+2 more)
SHINDEL CHAD TRAVISTREASURER; VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO)
CUFFARI-AGASI SHEILA JUNEEXECUTIVE VICE PRESIDENT; SHAREHOLDER
SHINDEL TRICIA THIELEXECUTOR

Disclosures (80)

Showing 10 of 11 distinct disclosure events.

InitiatedTypeAllegationsStatusAmount
2023-05-10regulatoryFAILURE TO SUPERVISE.Final$50K
2022-06-17regulatoryALLEGED VIOLATION OF FINRA RULE 2010 BY OMITTING MATERIAL FACTS.Final$40K
2022-05-09regulatoryTHE 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
2022-05-09regulatoryTHE 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
2018-02-14regulatoryTHE 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
2017-08-01regulatoryTHE 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
2016-03-21regulatoryTHE FIRM'S SUPERVISORY SYSTEMS AND PROCEDURES WERE INSUFFICIENT TO SUPERVISE THE USE OF CONSOLIDATED STATEMENTS WITH THE PUBLIC.Final$225K
2012-07-26regulatoryFINRA 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
2011-07-18regulatoryFINRA PROVIDED NOTIFICATION OF AN INVESTIGATION, AND THAT IT MADE A PRLIMINARY DETERMINATION TO RECOMMEND DISCIPLINARY ACTION.Final$200K
1999-03-19regulatoryTHE 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

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