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James Richard Smith

United Planners' Financial Services Of America A Limited Partner

Scottsdale, AZ

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Current Employers
United Planners' Financial Services Of America A Limited Partner

7333 East Doubletree Ranch Rd, Suite 120, Scottsdale, AZ 85258 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2013-12-11
  • AZ RA
    APPROVED
    Since 2013-12-11

Branch Locations

7333 E Doubletree Ranch Rd Ste 120, Scottsdale, AZ 85258 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
United Planners' Financial Services Scottsdale AZ 08/2009 Present
  • 08/2009 → Present
    United Planners' Financial Services
    Scottsdale, AZ
Previous Registrations
  • 2005-11-01 → 2009-05-06
    Osaic Services, Inc.
    Phoenix, AZ
    Scottsdale, AZ
    Phoenix, AZ
  • 2002-02-04 → 2005-04-29
    Sunamerica Securities, Inc.
    Phoenix, AZ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-02-18
S63 Uniform Securities Agent State Law Examination 1998-10-02
  • S65 Uniform Investment Adviser Law Examination
    1999-02-18
  • S63 Uniform Securities Agent State Law Examination
    1998-10-02
Other Names
  • Jimi Smith

View on SEC IAPD

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MERCER GLOBAL ADVISORS INC.
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IRONWOOD WEALTH ADVISORS, LLC
PAUL MARASCALCO REGISTERED INVESTMENT ADVISOR
CETERA INVESTMENT ADVISERS LLC
FAITH INVESTOR SERVICES
MERIDIAN WEALTH MANAGEMENT, LLC

Other Investors

GARY TODD STRINGER
SHAUN ELIZABETH BRACKEN
KENNETH ROY BLACKBURN
MARC ALAN NORMANN
Susanne T Gibo
PAUL JOSEPH SEIDMAN
JARON DAVID CARMICHAEL
HUSSEIN ELGOHARY

Other Offices

BRIDGELIGHT CAPITAL LLC · SCOTTSDALE, AZ
MERCER GLOBAL ADVISORS INC. · Scottsdale, AZ
LPL FINANCIAL LLC · SCOTTSDALE, AZ
IRONWOOD WEALTH ADVISORS, LLC · SCOTTSDALE, AZ
PAUL MARASCALCO REGISTERED INVESTMENT ADVISOR · SCOTTSDALE, AZ
CETERA INVESTMENT ADVISERS LLC · SCOTTSDALE, AZ
FAITH INVESTOR SERVICES · Scottsdale, AZ
MERIDIAN WEALTH MANAGEMENT, LLC · Scottsdale, AZ

More in Scottsdale, AZ

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