Your Destination Hybrid Partner With Offices Nationwide Since 1987
 

OUr Story


Welcome to United Planners Financial Services.  We are very pleased to be of service to our financial advisors and their clients!
 

Vision Statement

A Partnership of quality financial professionals mutually committed to exceeding client expectations.
 

Our Goal

United Planners never loses sight of our goal to be the most efficient, service oriented Broker-Dealer working with successful independent financial professionals. Over 100 years of collective experience among our senior management team has taught us that high level personal service cannot be delivered to large numbers. For that reason our focus is on a limited number of very capable financial services professionals. Our “client oriented” service sets United Planners apart from our competitors.
 

Who We Are

We are uniquely structured as a Partnership and completely independent from other financial institutions. United Planners provides full brokerage, insurance and investment advisory services to over 300 prestigious financial professionals located throughout the United States. United Planners is a Financial Industry Regulatory Authority (FINRA) member. An investment brochure describing FINRA's public disclosure program is available from FINRA by calling (800) 289-9999 or online at www.FINRA.org.
 
United Planners executes and clears brokerage transactions through Pershing, LLC. Pershing is one of the largest financial clearing institutions. Additional information regarding Pershing, LLC can be found at www.Pershing.com.
 

History of the Firm

United Planners was formed in 1987 as a Limited Partnership.  This very unique structure has withstood the tests of time and creates an atmosphere of partnership for the advisors affiliated with the firm.  55% of the firm’s annual profits are shared back with those advisors who qualify as Limited Partners.

Our General Partner, with 45% ownership of the firm, assumes oversight of the day to day operations of the firm, and is owned by the CEO, Tom Oliver; President, Dave Shindel; and CFO/EVP, Mike Baker.  These three gentlemen are located with the rest of the United Planners Home Office, in Scottsdale, Arizona.

This dynamic firm is very forward thinking when it comes to servicing clients and offering the infrastructure required to help advisors experience efficiencies in the way they conduct business.  United Planners believes in building systems that empower advisor efficiency, which supports profitability for all.
 

Our Leadership Team

The General Partners and Executive Team of United Planners are dedicated to the success of the team.  This includes OSJs, Registered Representatives and their office staff, and the Home Office employees.  This focus makes it possible for Advisors to serve their clients more effectively and run their practices more efficiently.

Meet the Team...
 

CLOSE-UP Highlights United Planners
 

 


Account Safety

United Planners is a member of the Securities Investor Protection Corporation (SIPC). SIPC provides investors insurance coverage for the first $500,000 for securities including $100,000 for cash in the event of financial failure of the institution that custodies the client's assets. SIPC does not cover losses in accounts due to a decline in market value. You can obtain additional information about SIPC, including the SIPC Brochure by contacting SIPC at (202) 371-8300 or online at www.SIPC.org. Pershing, LLC carries an additional insurance policy that provides coverage for securities that are not already covered through SIPC if Pershing, LLC becomes insolvent.