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 |
|---|---|---|---|---|---|---|---|---|
| Tania Herbert | 5532533 | 3 | 10/26/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tania Herbert | 5532533 | 3 | 10/24/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael W Stapleton | 7197856 | 1 | 01/07/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jamey Carl Graham | 4382537 | 3 | 08/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Angela Michelle Irvine | 5626218 | 1 | 09/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Juan Antonio Medina-Luna | 6918787 | 1 | 02/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brett Allen MacHtig | 1420080 | 5 | 01/11/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nathan Eldon Tanner Driggs | 6724236 | 1 | 11/18/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Wayne Smith | 1413109 | 1 | 08/15/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brett Allen MacHtig | 1420080 | 5 | 08/28/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |