United Planners Financial Services

United Planners Financial Services

A member of United Planners Financial Services

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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: 510

No. franchises: 318

AUM: $16,461,908,128

Year founded: 1987

Year end: Dec. 31

No. of retail offices: 309

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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.

2018 2017 2016
Total revenues$131,918,119$110,946,128$97,345,505
Commission revenues$51,745,320$48,177,625$52,566,572
Fee revenues$76,594,825$62,768,504$44,778,933
Total revenues: Other$3,577,97400
2018 2017 2016
Total account assets$16,461,908,128$14,874,608,941$12,907,206,327
Fee-based assets$7,650,000,000$6,693,547,023$5,288,958,132
Total account assets: Other$8,811,908,128$8,169,061,922$7,618,248,195
Average assets per rep$32,278,251$27,699,458$24,080,609
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

2019 top independent broker-dealers ranked by revenue

April 24, 2019 - Firm 2018 revenue ($M) % change vs. 2017 2018 commission revenue ($M) % change vs. 2017 2018 fee revenue ($M) % change vs. 2017 2018 other revenue ($M) % change vs. 2017 1 LPL Financial LLC 5188.4 21.2 1919.7 14.9 1793.5 27.3 1475.2 22.8 2 Ameriprise...

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...

    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.

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