Brian J. Gotta

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Braintree, MA 02184

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CRD#: 1219917

Professional summary

Brian Joseph Gotta is a registered financial advisor currently at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Braintree, Massachusetts.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Brian has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.) GOTTA RETIREMENT SERVICES, INC. - PRESIDENT - DBA NAME FOR MARKETING PURPOSES ONLY - BRAINTREE, MA - SINCE 08/2012 - INVESTMENT RELATED 2.) BRIAN J. GOTTA - SALES REPRESENTATIVE - NON-VARIABLE INSURANCE - SINCE 01/2007 - BRAINTREE, MA - INVESTMENT RELATED 3.) YE OLDE GARRISON INC - OWNER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - SINCE 01/2008 - BRAINTREE, MA - INVESTMENT RELATED 4.) NOTARY PUBLIC - NOTARY PUBLIC - I'M A NOTARY - BRAINTREE, MA - SINCE 01/2016 - NOT INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Joseph Gotta's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Brian Joseph Gotta's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

None

Experience

Current

July 12, 2012 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 817 Washington Street Ste 302, Braintree, MA 02184

RIA

CRD#: 20804

Braintree, MA

Current

April 30, 1990 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 817 Washington Street Ste 302, Braintree, MA 02184

RIA

CRD#: 20804

Braintree, MA

Past

July 31, 2012 - December 10, 2012

GOTTA RETIREMENT SERVICES,INC.

RIA

CRD#: 128609

BRAINTREE, MA

Past

April 6, 2005 - May 1, 2012

GOTTA RETIREMENT SERVICES,INC.

RIA

CRD#: 128609

BRAINTREE, MA

Past

August 1, 1984 - April 30, 1990

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

August 1, 1984 - April 30, 1990

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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 PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804 / SEC#: 801-57198, 8-38485

RIA

Registered Investment Advisory firm - SEC (1/28/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(2/6/2024)

District of Columbia
(1/9/2018)

Florida
(10/16/2003)

Georgia
(2/22/2012)

Massachusetts
(5/14/1990)

IAR

Massachusetts
(7/12/2012)

Nevada
(3/6/2012)

New Hampshire
(10/2/2003)

New York
(6/26/2004)

North Carolina
(1/13/2014)

Pennsylvania
(10/17/2014)

Rhode Island
(2/6/2024)

South Carolina
(2/23/2012)

Tennessee
(2/6/2024)

Texas
(1/5/2018)

IAR

Texas
(1/8/2024)

Vermont
(6/17/2004)

Washington
(2/5/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/17/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/5/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/30/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/31/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/11/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804 / SEC#: 801-57198, 8-38485

RIA

Registered Investment Advisory firm - SEC (1/28/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

7333 E. Doubletree Ranch Road #120, Scottsdale, AZ 85258

Mailing Address

P.o. Box 5750, Scottsdale, AZ 85261-5750

Phone number

(480) 991-0225

Established

Arizona since 08/21/1987

Firm type

Partnership

Fiscal year end

December

Firm Size

Large

# of Employees

614

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

UNITED PLANNERS FINANCIAL SERVICES FORM ADV PART 2A - 8.23.2024 (3/24/2025)

Direct owners and executive officers

Name	Position	CRD#
UNITED PLANNERS' GROUP, INC.	GENERAL PARTNER
BAKER, MICHAEL A	PRESIDENT	4037933
BAKER, MICHAEL A	CHIEF EXECUTIVE OFFICE (CEO)	4037933
CUFFARI-AGASI, SHEILA JUNE	EXECUTIVE VICE PRESIDENT	2401020
HAUER, DAVE B	VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER	4018434
OLIVERIO, KENNETH WILLIAM JR	EXECUTIVE VICE PRESIDENT, CHIEF MARKETING OFFICER	2957427
SHINDEL, CHAD TRAVIS	VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO)	6232253

Regulatory assets under management

Total Number of Accounts	41,834
AUM (Assets Under Management)	$ 10,637,349,683

Disclosures

Regulatory Event	12
Arbitration	3

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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Brian J. Gotta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Joseph Gotta's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Brian Joseph Gotta's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

GOTTA RETIREMENT SERVICES,INC.

GOTTA RETIREMENT SERVICES,INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

State Registrations and Notice Filings

Exams

Series 65

Date: 6/17/1999

Series 63

Date: 1/5/1987

SIE

Date: 10/1/2018

Series 7

Date: 6/30/1997

Series 6

Date: 7/31/1984

Series 24

Date: 8/11/1997

FINRA

Current Firm

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

TRUST BUT VERIFY

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