Your Destination Hybrid Partner With Offices Nationwide Since 1987
...and Adamantly Not For Sale!

Important Documents & Disclosures


Business Continuity Plan

This Business Continuity Plan document is to provide you with information on how we will respond to events that significantly disrupt our business.  It provides contact information for our Home Office, and how to obtain up to date information in the event of a significant business disruption such as fire, earthquake, flood or other natural or unnatural event that may cause a closure at our primary place of business.  It is always the intent of the firm to recover quickly from any event that may cause our business continuity plan to be called into effect. 

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Data Privacy & Protection

United Planners data privacy and protection brochure is intended to educate consumers on the extra steps the firm takes to protect client’s confidential information. It goes beyond the scope of the privacy policy and discusses topics such as device requirements, secure networks, cybersecurity risk assessments, third party vendor due diligence, awareness training and testing, incident response planning and cybersecurity insurance.

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Form ADV Part 2A Disclosure Brochure

United Planners Financial Services publishes the Form ADV-Part 2A Disclosure Brochure to provide investors information about the fee based and managed account options available to you with the firm.  Any conflict of interest which require disclosure are contained within this document, as required by regulation.  Investors will be offered this document annually, and will be notified should there be any material changes.  Investors will obtain a copy of each advisors ADV-Part 2B from their respective advisor, as that document will be specific and applicable to that advisor.

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Privacy Policy

United Planners is committed to protecting and safeguarding the confidentiality of clients’ information by maintaining physical, electronic and procedural safeguards that comply with federal standards.  United Planners does not disclose non-public personal information about you to anyone, except as permitted by law.  When you are a client of the firm, you will be offered this privacy policy at least annually. 

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Third-Party Payments and Revenue Sharing Arrangements

United Planners has Strategic Partnerships with various Service Providers who are core to the products & services that our Financial Professionals (Brokers & Advisors) use to service their clients.  Service Providers include but are not limited to mutual fund companies, insurance companies, direct participation companies (real estate investment trusts, oil & gas programs, business development companies, etc.), money managers, custodians and financial technology companies.  Strategic Partners are Service Providers that pay compensation to United Planners through Third-Party Payments and Revenue-Sharing Arrangements.  This compensation is used to support United Planners’ corporate events for marketing, business development and training & education.  This type of marketing, business development, training & education is designed to keep our Financial Professionals well-informed in order to provide quality service to their clients. 

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Variable Annuity Brochure

Variable Annuities are considered complex products, as there are a variety of different features each may offer that can make them unique.  This brochure is intended to inform you of some of the key terms, costs and questions you should consider prior to making any decision to invest. 

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