Your Destination Hybrid Partner With Offices Nationwide Since 1987

Join UP

If you are an advisor considering affiliating with United Planners, click the link below to download our eKit.  Read below to learn more about the Steps of Affiliation and JoinUP to the new level of partnership today!

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About us

Learn more about our history, vision, leadership team and social activity on official UP site.

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White Papers & Resources

Find some of the resources United Planners has created to address many of the challenges facing the industry and what we've done as a firm to combat those.

White Papers & Resources


QUALIFICATIONS

United Planners (UP) prides itself on the reputation it has built by affiliating with quality investment professionals. Just as you will conduct due diligence on United Planners, they will in turn conduct a background check by asking each registered proposed affiliate to complete our Confidential Questionnaire (CQ) and Disclosure of Outside Business Activities (OBA) forms, amongst a number of questions which help to better understand your business model.

The CQ will ask questions about your business model, investment experience, professional designations, proposed business address, etc. United Planners will request a copy of your trailing 12 month concessions statements to be remitted with this document.

An OBA form will need to be completed for each OBA in which the registered person is engaged.

These documents will be submitted to Partner Development. The Licensing and Registration Department will pull the candidates CRD history and a credit check. Compliance will either mark the file “OK to proceed” (no issues) or “Refer to Committee”. If the candidate is referred to committee, Partner Development will gather additional information on the outstanding issues.

Once all agree to proceed, the entire U-4 kit will be issued to the candidate electronically with a copy sent to the proposed OSJ. Licensing and Registration is a simplified process with comprehensive and easy to understand checklists.