United Planners Financial Services
A member of United Planners Financial Services
7333 E. Doubletree Ranch Road
Scottsdale, AZ 85258
Clearing firm: Charles Schwab, Fidelity Clearing and Custody Solutions, Pershing LLC, TD Ameritrade
No. advisers: 537
No. franchises: 315
Year founded: 1987
Year end: Dec. 31
No. of retail offices: 314
For More Information
|CEO||David A. Shindel|
|Top Executive||David A. Shindel|
|Recruiting Contact||Sheila J. Cuffari-Agasi|
(800) 966-8737 ext. 240
|Compliance Contact||Doug Hall|
|Marketing Contact||Billy Oliverio|
|Technology Operations Contact||Aaron G. Spradlin|
Recruitment & Staffing
|No. of reps||537||536||471|
|No. of producing reps||433||430||389|
|No. of reps producing $100K-$499K /year||231||204||193|
|Total revenues: Other||0||0||0|
|Total account assets||$14,874,608,941||$12,907,206,327||$10,210,523,614|
|Total account assets: Other||$8,169,061,922||$7,618,248,195||$6,300,000,000|
|Average assets per rep||$27,699,458||$24,080,609||$21,678,394|
|Social Media & Mobile|
|Allows advisers to use social media||Y|
|Social media sites allowed||Facebook|
|Dedicated mobile application for advisers?||Y|
|Primary purpose of mobile application||Financial planning|
April 21, 2018 - Firm 2017 % revenue ($M) % change vs. 2016 2017 commission revenue ($M) % change vs. 2016 2017 fee revenue ($M) % change vs. 2016 2017 other revenue ($M) % change vs. 2016 1 LPL Financial $4,281.50 5.70% $1,670.80 -3.80% $1,409.20 9.30% $1,201.40 17.50%...
November 16, 2017 - The Financial Industry Regulatory Authority has barred former broker Jerry Lou Guttman for engaging in private securities transactions without his firm's prior approval. From 2001 until this past September, Mr. Guttman was associated with United Planners...
October 31, 2017 - The financial services industry has found its way onto the dark web. Just don't call it the dark web. "We're the new internet, which is like a layer on top of the internet," said Aaron Spradlin, co-founder and chief executive of CleverDome, a cybersecurity...
April 23, 2017 - Top 50 IBDs ranked by 2016 revenue Bubble view By group Table view Firm 2016 revenue ($M) % change vs. 2015 2016 commission revenue ($M) % change vs. 2015 2016 fee revenue ($M) % change vs. 2015 2016 other revenue ($M) % change vs. 2015 1 LPL Financial...
April 22, 2017 - As commission revenue continued its decline in 2016 and headwinds from regulators stiffened, the independent broker-dealer industry hit a wall, with the top 25 firms — those with roughly $250 million and more in total revenue — collectively reporting...
January 22, 2017 - The 2017 InvestmentNews independent-broker-dealer directory is based on information provided by 90 eligible firms. To be considered for future listings, contact INResearch@investmentnews.com. Visit InvestmentNews.com/bddata for more-complete profiles....
August 17, 2016 - Software companies, consultants and financial institutions are mobilizing to create a cybersecurity consortium to forge higher industry standards to avoid hacking attacks. The group of about a dozen entities is discussing ways to secure the communications...
December 20, 2015 - As technology progresses at a rapid pace, financial services firms are faced with a host of cyberthreats, including email hacking, outdated digital signature models and third-party vendor breaches. “This information age creates new opportunities for...
December 20, 2015 - Planners should have technology upgrades in their sights, because these digital disruptors are changing what clients demand from their advisers — man or machine. InvestmentNews brought eight broker-dealer professionals together at the Technology Tools...
- N/A = Not available
- N/D = Not disclosed
- — = Information not available or not disclosed
All 2011-2016 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.
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