Transition

DEDICATED SUPPORT TEAM

Transitioning your entire book of business from one Broker-Dealer to another sounds like a very overwhelming process. United Planners understands your concerns and will work with each advisor individually, and their administrative support to simplify the process and teach them shortcuts we have learned since we walk through the process on a regular basis.

Tools you can count on from United Planners include (but are not limited to):

  • A Transition Specialist to guide and support you through your transition period
  • A full Integration Team available to answer your questions and assist your process post affiliation
  • A guidebook of step by step efficient streamlined instructions designed to make the process as simple as it can possibly be
  • Electronic tools such as LaserApp, E-Signature software and applications, and others

United Planners will serve as each advisor’s back office support for the first 90 days of their affiliation. This means we will key all client personal data into our back office system (AFO) after your clients have positively consented to a relationship with United Planners as evidenced by their signature on the “Client Agreement”. Please remember that each client only needs to complete ONE form (not one per registration or one per account) for United Planners’ purposes as this makes the process of transitioning much more simple and efficient from both your, and the client’s prospective.

STOP LIGHT MEETINGS

STEPS OF AFFILATION

We look forward to your affiliation with United Planners. To help ease and expedite your transition, we have a dedicated team of specialists to assist you with all the questions you will have and guide you through a successful onboarding experience.

THE PROCESS

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QUALIFICATIONS

United Planners (UP) prides itself on the reputation it has built by affiliating with quality investment professionals. Just as you will conduct due diligence on United Planners, they will in turn conduct a background check by asking each registered proposed affiliate to complete our Confidential Questionnaire (CQ) and Disclosure of Outside Business Activities (OBA) forms, amongst a number of questions which help to better understand your business model.

The CQ will ask questions about your business model, investment experience, professional designations, proposed business address, etc. United Planners will request a copy of your trailing 12 month concessions statements to be remitted with this document.

An OBA form will need to be completed for each OBA in which the registered person is engaged.

These documents will be submitted to Partner Development. The Licensing and Registration Department will pull the candidates CRD history and a credit check. Compliance will either mark the file “OK to proceed” (no issues) or “Refer to Committee”. If the candidate is referred to committee, Partner Development will gather additional information on the outstanding issues.

Once all agree to proceed, the entire U-4 kit will be issued to the candidate electronically with a copy sent to the proposed OSJ. Licensing and Registration is a simplified process with comprehensive and easy to understand checklists.

F.A.Q.

  • What are your Payouts?

    United Planners’ payouts range between 75% – 95% with high volume bonuses for production over $750,000. There is also the possibility, for qualified advisors, to affiliate as a limited partner of the firm and therefore participate in the annual profits of the firm.

  • Do you work with Independent Registered Investment Advisors?

    Yes, United Planners works with both advisors under our Firm RIA and advisors with their own Independent RIA.

  • Who do you clear through?

    United Planners is a Pershing clearing broker dealer. However, we allow the use of all of the major custodians (Schwab, TD Ameritrade, ETrade Advisor Services, Pershing Advisory Services, Pershing LLC. & Fidelity Investments) for investment advisory business at no markup for both our firm and Independent RIAs.

  • What is the corporate structure of United Planners?

    United Planners is structured as a Limited Partnership where the majority share, 55%, of the firm is actually owned by our Limited Partner advisors. The remaining minority share is not held by an outside entity but rather is owned by executive management of the firm who are directly involved in the day-to-day management of the firm.

  • What technology do you offer?

    United Planners works with a large range of technology affiliates and directly integrates with those through our back office business processing technologies called “Advisor Front Office”. Through United Planners these technologies can allow you to do things such as having a totally paperless office, automatic sharing between Redtail CRM and our forms and Advisor Front Office, mobile apps for clients, web based, goal based and asset based financial planning software, Single Sign-On to multiple technology offerings through one United Planners login, VA sales analysis tools, a Client Portal, and much more!