Our Staff has compiled our research into a database of FINRA Broker Disclosures for United Planners' Financial Services of America A L. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Joshua Richard Allen | 5074710 | 1 | 10/14/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tania Herbert | 5532533 | 3 | 08/04/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Daniel Williams | 4011843 | 1 | 06/12/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Garth Fernandez | 2783860 | 1 | 02/22/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Craig Parks | 2954714 | 1 | 04/25/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin Glen Baird | 2087678 | 1 | 07/08/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Marilee Alice Stephens | 2314189 | 1 | 01/25/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Patrick Vernon Robison | 1755714 | 1 | 09/17/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eric Richard Hemingway | 2945792 | 2 | 04/02/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Dean Hoefferle | 2784211 | 1 | 08/12/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |