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United Planners Financial Services

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United Planners Financial Services

Founded in 1987, United Planners Financial Services of America (“United Planners”) is a broker-dealer and registered investment adviser (RIA) providing financial planning, investment management, and insurance services. United Planners, headquartered in Scottsdale, Arizona, is majority-owned by its financial advisors. It is a partner of United Planners’ Group, Inc. Per its Form ADV filed in March 2022, United Planners has $7.8B+ in regulatory assets under management (AUM) and 500+ registered representatives. Its brokers are licensed in all 50 states as well as the District of Columbia and the U.S. Virgin Islands.  

Financial Misconduct at United Planners Financial Services 

United Planners is licensed by the Financial Industry Regulatory Authority (FINRA), and as such is legally obligated to ensure its brokers are acting lawfully in the interest of their investors. If a client suffers losses as a result of negligent behavior or misconduct from a broker, then the firm may be held legally responsible to repay the damages. 

United Planners and brokers backed by United Planners have a long history of misconduct. Per FINRA’s BrokerCheck report, the firm has 12 disclosures (10 regulatory events and 2 arbitrations). 

In June 2022, FINRA initiated a claim against United Planners finding that the firm negligently omitted to tell investors in an offering that the issuer, GPB Capital, had failed to make required filings with the Securities and Exchange Commission (SEC) when they were due. Despite United Planners receiving an email notifying it that the issuer’s audited financial statements would be delayed so that a forensic audit could be completed, the firm still sold limited partnership interests in GPB Holdings II LP. United Planners received $37,125 in commissions from these sales. As a result, the firm was censured, fined $40,000, and ordered to pay $37,125, plus interest, in restitution. 

In February 2018, the Massachusetts Securities Division initiated a claim against United Planners for failing to supervise the outside business activities of at least one of their agents, Thomas Riquier, which led to investor harm. The firm was censured and ordered to pay $100,000.  

Wondering If You Have a Claim? Contact Our Firm Now! 

Meyer Wilson reclaimed $350 million for the victims of investment fraud or misconduct. Our attorneys are experienced in going up against the largest investment firms, such as United Planners Financial Services, and our track record affirms our resources and expertise. Meyer Wilson has represented clients nationwide and internationally, in state and federal courts, and in securities arbitration. As an investor, you have a right to recover investments lost through unethical behavior or decisions made against your interests.

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