John L. Brotherton

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CRD#: 1140311

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Lawrence Brotherton, CFP® was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1984. John had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. I AM AN INSURANCE AGENT, LICENSED FOR LIFE INSURANCE, HEALTH INSURANCE AND/OR ANNUITY LINES OF BUSINESS WITH UNITED CAPITAL RISK MANAGEMENT. I MAY RECEIVE COMPENSATION FROM INSURANCE COMPANIES FOR THE SALES OF INSURANCE PRODUCTS TO CLIENTS OR OTHER INDIVIDUALS. 2. JB/DB ENTERPRISES, NON-INVESTMENT RELATED, SCOTTSDALE, AZ, MANAGING PARTNER, START 02/2009, 0.5 HOURS PER MONTH, HOLDING COMPANY FOR BUILDING; ACCEPT RENT & PAY MORTGAGE.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Past

October 1, 2013 - July 26, 2023

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

SCOTTSDALE, AZ

Past

April 15, 2005 - October 16, 2013

BROTHERTON INVESTMENT CONSULTANTS LLC

RIA

CRD#: 112595

SCOTTSDALE, AZ

Past

January 31, 2002 - November 9, 2004

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

January 29, 1991 - January 31, 2002

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

November 13, 1989 - February 7, 1997

DETWILER FENTON WEALTH MANAGEMENT INC

CRD#: 16063

BOSTON, MA

Past

April 13, 1988 - December 7, 1989

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

May 29, 1986 - April 22, 1988

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

July 30, 1985 - May 5, 1986

INLAND SECURITIES CORPORATION

CRD#: 15807

Past

May 2, 1985 - July 22, 1985

EQUITY SERVICES, INC.

CRD#: 265

Past

March 22, 1984 - May 3, 1985

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/6/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/29/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/17/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/8/2000

General Securities Principal Examination

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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Contact information

Main Address

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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John L. Brotherton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BROTHERTON INVESTMENT CONSULTANTS LLC

AMERICAN GENERAL SECURITIES INCORPORATED

THE ADVISORS GROUP, INC.

DETWILER FENTON WEALTH MANAGEMENT INC

THE ADVISORS GROUP, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

INLAND SECURITIES CORPORATION

EQUITY SERVICES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/6/1998

Series 63

Date: 7/29/1983

Series 7

Date: 3/17/1984

Series 24

Date: 3/8/2000

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

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