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