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Financial services / Financial adviser / Investment Advisers Act / Hedge fund / Investment Advisor / Financial planner / Collective investment scheme / Financial analyst / Wrap account / Financial economics / Investment / Finance


Microsoft Word - UCFA ADV Part 2A
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Document Date: 2015-04-29 20:49:38

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City

Newport Beach / /

Company

Investment Operating Group / Terminated Accounts If United Capital / Client Transactions / PFE Advisors Inc. / Aria Retirement Solutions / Financial Guidance & Investment Management / United Capital Financial Advisers LLC / Consulting Services United Capital / United Capital Risk Management / Personal Trading / SERVICES SCHEDULE 1 / Investment Counsel Sub-Adviser Relationship United Capital / Stronghold Financial LLC / Insurance United Capital / United Capital Financial Partners Inc. / Sub-Manager Limited / Employer Sponsored Retirement Plan Consulting Services United Capital / Cost / Principal Owners United Capital / IARs / United Capital Investment Operating Group / United Capital Financial Life Management / Sub-Adviser Relationship United Capital / Team Adviser Plan United Capital / Futures & Alternative Investments United Capital / Voting Client Securities / Compass Bank / Services United Capital / Capital Investment Counsel Inc. / Investment Management Costs United Capital / Financial Life Management / Separate / Certain Investment Operations United Capital / PFE Group / Investment Management Services United Capital / Financial Guidance Services United Capital / Business United Capital Financial Advisers LLC / Chicago Clearing Corporation / United Capital / /

Country

United States / /

Currency

USD / /

Event

Reorganization / Business Partnership / Product Recall / M&A / Funding / Product Issues / /

Facility

If Stronghold / /

/

IndustryTerm

advisory services / flow management / replacement services / account processing / retirement plan investment advisory services / insurance agents / tax preparation services / insurance / consultation services / educational services / insurance products / investment adviser consulting services / retirement account custodial services / traded real estate investment trusts / annuity product / state law licensing requirements / investment products / retirement plan service provider search / financial advisory services / web site www.adviserinfo.sec.gov / annual management / investment advisory services / portfolio accounting systems / discretionary management / retail / investment services / retirement plan services / custodial services / custodial and clearing agent services / asset management / sub-adviser services / Retirement plan advisory services / financial planning services / insurance product recommendations / investment solution / insurance policy / vendor search / bank servicing / similar services / insurance agency / /

Organization

United Capital’s Investment Committee / Securities and Exchange Commission / United States Securities and Exchange Commission / /

Person

Wealth Counseling / /

/

Position

manager cost / custodian / account custodian / broker / insurance agent / Chartered Financial Analyst / Certified Financial Planner / claims administrator / manager compensation structure & manager / Uniform Investment Adviser / broker-dealer / manager show tracking/comparison / customized investment adviser consulting services / solicitor / authorized officer / Sub-Adviser / Executive / Investment Adviser / Manager Research Costs / Charted Financial Analyst / associated broker-dealer / sub-manager / PLANNER / adviser representatives / attorney / manager consistency / manager / fund manager / unaffiliated broker-dealer / Fund analyst / non-affiliated manager / manager ratio Fund / principal owner / Governor / General Description / general financial education workshops / manager research expenses / financial adviser / registered representative / adviser / Private / /

Product

Client / request / Clients / /

ProvinceOrState

California / Delaware / /

Technology

instant messaging / /

URL

www.adviserinfo.sec.gov / www.unitedcp.com / www.honestconversations.com / /

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