United Planners Financial Services
A member of United Planners Financial Services
7333 E. Doubletree Ranch Road
Scottsdale, AZ 85258
Clearing firm: Pershing LLC
No. advisers: 536
Year founded: 1987
Year end: Dec. 31
No. of retail offices: 293
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||536||471||438|
|No. of producing reps||430||389||374|
|No. of reps producing $100K-$499K /year||204||193||190|
|Total revenues: Other||0||0||0|
|Total account assets||$12,907,206,327||$10,210,523,614||$10,000,000,000|
|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||$22,831,050|
|Social Media & Mobile|
|Allows advisers to use social media||Y|
|Social media sites allowed||Facebook|
|Dedicated mobile application for advisers?||Y|
|Primary purpose of mobile application||Financial planning|
April 23, 2017 - Top 50 IBDs ranked by 2016 revenue Bubble view By group Table view Firm 2016 revenue ($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 â€” those with roughly $250 million and more in total revenue â€” 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 - 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...
December 20, 2015 - Planners should have technology upgrades in their sights, because these digital disruptors are changing what clients demand from their advisers â€” man or machine. InvestmentNews brought eight broker-dealer professionals together at the Technology Tools...
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. â€œThis information age creates new opportunities for...
November 13, 2013 - In the complex world of financial services, some of the most compelling technology startups are the ones that come from inside the industry itself. â€œNecessity is the mother of invention. We came to the conclusion that there was nothing out there to...
- 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.
The Department of Labor's new fiduciary rule will have a lasting impact on this industry. Have we finally reached the finish line? Pershing's Rob Cirrotti explains what is to come.
Latest news & opinion
Prosecution rests case in fraud trial against CFO of American Realty Capital Properties.
Brokerage firm's digital marketing investment helps land it at the top of local and overall search engine results, report finds.
Fidelity, Aon Hewitt and Xerox HR Solutions are currently defending against similar fiduciary-breach claims.
The funds are catching on due largely to lower costs and more product availability, but come with some inherent drawbacks.
Personal Advisor Services, four times the size of its closest competitor, combines digital and human touch.