James Robert Shock

Employer firm

United Planners' Financial Services Of America A Limited Partner CRD 20804

$12.8B regulatory AUM 483 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

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

Authority	Category	Status	Date
TX	RA	APPROVED	2020-11-02

TX RA
APPROVED

Since 2020-11-02

Branch Locations

118 Vintage Park Blvd. Ste. W, Houston, TX 77070 • United States

Shenandoah, TX • United States

25700 I-45 North Suite 4316, The Woodlands, TX 77386 • 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

Organization	City	State	From	To
Shock Financial Group	The Woodlands	TX	06/1989	02/2019
United Planners' Financial Services	Scottsdale	AZ	04/2008	Present
Trilogy University	Spring	TX	06/2017	08/2023
Trilogy Wealth Management	The Woodlands	TX	06/2015	08/2023
Trilogy Wealth Management	Shenandoah	TX	02/2019	08/2023
James Shock	Shenandoah	TX	06/2008	Present

06/1989 → 02/2019

Shock Financial Group

The Woodlands, TX
04/2008 → Present

United Planners' Financial Services

Scottsdale, AZ
06/2017 → 08/2023

Trilogy University

Spring, TX
06/2015 → 08/2023

Trilogy Wealth Management

The Woodlands, TX
02/2019 → 08/2023

Trilogy Wealth Management

Shenandoah, TX
06/2008 → Present

James Shock

Shenandoah, TX

Other Businesses

1.) JAMES SHOCK - OWNER - NON-VARIABLE INSURANCE - SHENANDOAH, TX - SINCE 06/2008 - INVESTMENT RELATED 2.) TRILOGY WEALTH PARTNERS - PARTNER - DBA NAME FOR MARKETING PURPOSES ONLY - SHENANDOAH, TX - SINCE 08/2023 - INVESTMENT RELATED

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2020-10-27
S63	Uniform Securities Agent State Law Examination	1996-04-02

S65 Uniform Investment Adviser Law Examination

2020-10-27
S63 Uniform Securities Agent State Law Examination

1996-04-02

View on SEC IAPD