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 |
|---|---|---|---|---|---|---|---|---|
| Brett Allen MacHtig | 1420080 | 5 | 01/11/2017 | Regulatory | 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 |
| Brian Joseph Gotta | 1219917 | 3 | 07/12/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Richard Hemingway | 2945792 | 2 | 06/28/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George Edwin Rall | 1170826 | 2 | 05/14/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tony Lee Adkison | 5860007 | 2 | 06/08/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Paul Rogers | 2332472 | 1 | 01/10/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Dwayne Lee | 1242630 | 1 | 01/23/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kelvin William Gold | 223810 | 14 | 01/03/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |