United Planners Financial Services

United Planners Financial Services

A member of United Planners Financial Services

Share:

7333 E. Doubletree Ranch Road

Scottsdale, AZ 85258

(800) 966-8737

unitedplanners.com

Clearing firm: Charles Schwab, Fidelity Clearing and Custody Solutions, Pershing LLC, TD Ameritrade

No. advisers: 537

No. franchises: 315

AUM: $14,874,608,941

Year founded: 1987

Year end: Dec. 31

No. of retail offices: 314

You are currently viewing a limited portion of this firm's profile.

Subscribe or log in to the B-D Data Center for access to all available data.

Additional data available to subscribers:
  • No. of reps, male
  • No. of reps, female
  • No. of producing reps, male
  • No. of producing reps, female
  • No. of reps producing $500K+ /year
  • No. of CFPs
  • No. of full-time employees
  • No. of fee-based advisers served
  • Average payout per rep, per year
  • Avg. annual production of top 20% reps
  • Total payout, per year
  • Cost of E&O insurance per rep, per year
  • Affiliation fees charged per rep, per year
  • Affiliation fee coverage
  • Securities revenues
  • Securities revenues: Stocks
  • Securities revenues: Bonds
  • Securities revenues: ETFs
  • Securities revenues: Other
  • Mutual fund revenues
  • Annuities revenues
  • Annuities revenues: Fixed
  • Annuities revenues: Variable
  • Annuities revenues: Other
  • Insurance revenue
  • Insurance revenues: Life
  • Insurance revenues: Disabilities
  • Insurance revenues: LTC
  • Insurance revenues: Other
  • Alternative revenues
  • Alternative revenues: Hedge funds
  • Alternative revenues: Managed futures
  • Alternative revenues: Private placements
  • Alternative revenues: REITs
  • Alternative revenues: Other
  • Other commission revenues
  • Fee revenues: Rep-managed accounts
  • Fee revenues: Firm-managed accounts
  • Fee revenues: Outside-managed accounts
  • Fee revenues: Other
  • Fee-based assets: Clearing firm
  • Fee-based assets: Advisory firm platforms
  • Fee-based assets: Third-party money managers
  • Fee-based assets: Other
  • Is the firm, or an affiliate of the firm, registered as an investment adviser with the SEC?
  • Allows an adviser to have his/her own RIA
  • RIA platform AUM
  • Offers robo-advisory platform?
  • If not, when plans to offer a robo-platform
  • Robo-advice services offered
  • How robo-platform developed
  • Charge for robo-advisory services?

For More Information

CEODavid A. Shindel
Top ExecutiveDavid A. Shindel
Recruiting ContactSheila J. Cuffari-Agasi
(800) 966-8737 ext. 240
E-mail
Compliance ContactDoug Hall
(800) 966-8737
E-mail
Marketing ContactBilly Oliverio
800-966-8737
E-mail
Technology Operations ContactAaron G. Spradlin
(800) 966-8737
E-mail

Recruitment & Staffing

2017 2016 2015
No. of reps537536471
No. of producing reps433430389
No. of reps producing $100K-$499K /year231204193

Payout grid is available to Data Center subscribers only.

Subscribe or log in to the B-D Data Center for access to all available data.

2016 2015 2014
Total revenues$97,345,505$95,069,131$84,682,530
Commission revenues$52,566,572$52,288,022$50,809,518
Fee revenues$44,778,933$38,027,652$33,873,012
Total revenues: Other000
2016 2015 2014
Total account assets$12,907,206,327$10,210,523,614$10,000,000,000
Fee-based assets$5,288,958,132$3,910,523,614$3,757,012,717
Total account assets: Other$7,618,248,195$6,300,000,000$6,242,987,283
Average assets per rep$24,080,609$21,678,394$22,831,050
Social Media & Mobile
Allows advisers to use social mediaY
Social media sites allowedFacebook
LinkedIn
Twitter
Dedicated mobile application for advisers?Y
Primary purpose of mobile applicationFinancial planning

Finra bars ex-broker for private securities deals

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...

Fintech firms to use dark web to improve cybersecurity for advisers

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...

Top independent broker-dealers by revenue and payout

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...

Independent broker-dealers hit a wall

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...

Top independent broker-dealers reveal their payout tables

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....

Firms, technology vendors mobilize on security standards

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...

Robo-advisers demand attention

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...

Cybersecurity touches clients, staff

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...

Big data ushers in the predictive future

December 20, 2015 - Advisers already use big data to analyze their clients' behavior and measure themselves against the competition. But the predictive abilities that experts say are coming from the massive amounts of information being gathered around the web will be a game...

    Notes
  • 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.

Purchase the complete set of our independent broker-dealer data and profiles in an Excel spreadsheet.

For comments or suggestions about the Adviser Center, please contact us.

Disclaimer: All data and information is the property of InvestmentNews and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews. The data may only be used for internal business use such as to develop a mailing list but the data may not be resold, republished, redistributed, sublicensed or publicly displayed on a web site without the permission of InvestmentNews. All information contained within was obtained through InvestmentNews' annual independent B-D surveys.

Featured video

INTV

Why broker-dealers are on a roll

Deputy editor Bob Hordt and senior columnist Bruce Kelly discuss last year's bounce-back for IBDs.

Latest news & opinion

SEC advice rule may give RIAs leg up over broker-dealers

Experts say advisers will be able to point to their role as fiduciaries as a differentiator in the advice market.

Brokers accept proposed SEC rule on who can call themselves an adviser

Some say the rule will clear up investor confusion, but others say the SEC didn't go far enough.

SEC advice rule: Here's what you need to know

We sifted through the nearly 1,000-page proposal and picked out some of the most important points.

Cadaret Grant acquired by private-equity-backed Atria

75-year-old owner Arthur Grant positions the IBD for the 'next 33 years.'

SEC advice rule seeks to tighten reins on brokers

The proposed rule puts new restrictions on brokers, but it is still unclear how strongly the SEC is clamping down.

X

Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting investmentnews.com? It'll help us continue to serve you.

Yes, show me how to whitelist investmentnews.com

Ad blocker detected. Please whitelist us or give premium a try.