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: 529

No. franchises: 318

Year founded: 1987

Year end: Dec. 31

No. of retail offices: 309

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
Recruiting ContactSheila J. Cuffari-Agasi
(800) 966-8737 ext. 240
E-mail
Compliance ContactDave Hauer
800-966-8737 x214
E-mail
Marketing ContactBilly Oliverio
800-966-8737
E-mail
Technology Operations ContactAaron G. Spradlin
(800) 966-8737
E-mail

Recruitment & Staffing

2018 2017 2016
No. of reps510537536
No. of producing reps418433430
No. of reps producing $100K-$499K /year210231204

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.

2017 2016 2015
Total revenues$110,946,128$97,345,505$95,069,131
Commission revenues$48,177,625$52,566,572$52,288,022
Fee revenues$62,768,504$44,778,933$38,027,652
Total revenues: Other000
2017 2016 2015
Total account assets$14,874,608,941$12,907,206,327$10,210,523,614
Fee-based assets$6,693,547,023$5,288,958,132$3,910,523,614
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 mediaY
Social media sites allowedFacebook
LinkedIn
Twitter
Dedicated mobile application for advisers?Y
Primary purpose of mobile applicationFinancial planning

Massachusetts fines United Planners $100,000 in real estate scam case

February 19, 2019 - Massachusetts securities regulators have fined United Planners Financial Services of America $100,000 for failure to supervise one of its brokers, Thomas T. Riquier, in connection with a complex real estate scheme that defrauded investors and other clients...

Top independent broker-dealers ranked by revenue

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%...

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...

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...

    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

Events

These are the federal and state rules that will most impact 401(k) advisers

Will Hansen, chief governmental affairs officer for the National Association of Plan Advisors, discusses regulation and legislation poised to have the biggest impact on advisers.

Latest news & opinion

Centerbridge said to be in talks to buy Advisor Group

Advisor Group's independent broker-dealer network in the U.S. has more than 7,000 advisers.

The drawback of Richard Thaler's 401(k)-Social Security idea? Social Security itself

Observers think Congress would need to address Social Security's funding levels and offer enhanced protections for the concept to work

Social Security funding outlook improves slightly

Retirement reserves extended one year; disability fund by 20 years

IBD report: Another impressive year

Despite a stock market decline, revenue is up. And the streak isn't expected to end anytime soon.

IBDs with the most CFPs

How many of the more than 83,000 certified financial planners are employed by the big independent broker-dealers?

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.