John R. Kirwan

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Matthews, NC 28105

Some features on this profile are disabled

CRD#: 1313695

Professional summary

John Robert Kirwan is a registered financial advisor currently at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Matthews, North Carolina.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. John has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 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.) CAROLINA FINANCIAL PARTNERS & ASSOCIATES, LLC - PRESIDENT - DBA NAME FOR MARKETING PURPOSES ONLY - MATTHEWS, NC - SINCE 01/2019 - INVESTMENT RELATED 2.) CAROLINA FINANCIAL PARTNERS & ASSOCIATES, LLC - PRESIDENT - NON-VARIABLE INSURANCE - MATTHEWS, NC - SINCE 01/2016 - NOT INVESTMENT RELATED 3.) SFL TRANSPORTATION - CDL DRIVER - CDL DRIVER PART TIME WEEKEND - CHARLOTTE, NC - SINCE 10/2021 - NOT INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Robert Kirwan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view John Robert Kirwan'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

November 13, 2008 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 250 N. Trade St Suite 301, Matthews, NC 28105

RIA

CRD#: 20804

Matthews, NC

Current

November 7, 2008 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 250 N. Trade St Suite 301, Matthews, NC 28105

RIA

CRD#: 20804

Matthews, NC

Past

September 8, 2004 - November 13, 2008

OSAIC WEALTH, INC.

RIA

CRD#: 23131

MATTHEWS, NC

Past

March 17, 1995 - November 13, 2008

OSAIC WEALTH, INC.

CRD#: 23131

MATTHEWS, NC

Past

July 18, 1994 - March 14, 1995

THE STRATEGIC ALLIANCE CORPORATION

CRD#: 32788

ALBEMARLE, NC

Past

April 4, 1992 - March 25, 1994

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

CRD#: 5178

FORT WAYNE, IN

Past

September 25, 1991 - October 28, 1991

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

February 20, 1991 - August 22, 1991

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

September 14, 1989 - January 17, 1991

PLANNED MANAGEMENT COMPANY

CRD#: 14733

CHARLOTTE, NC

Past

September 12, 1988 - October 11, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

November 3, 1987 - September 20, 1988

J.C. BRADFORD & CO.

CRD#: 1287

Past

November 17, 1986 - November 5, 1987

FIRST TRYON SECURITIES, INC.

CRD#: 17648

Past

December 19, 1984 - November 25, 1986

J.C. BRADFORD & CO.

CRD#: 1287

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

Alabama
(11/7/2008)

Arizona
(8/28/2018)

California
(4/25/2023)

Colorado
(6/17/2022)

Florida
(11/7/2008)

Georgia
(1/6/2009)

Illinois
(3/8/2016)

Montana
(1/14/2021)

New York
(11/7/2008)

North Carolina
(11/7/2008)

IAR

North Carolina
(11/13/2008)

Ohio
(11/7/2008)

South Carolina
(11/7/2008)

Tennessee
(6/30/2021)

Texas
(11/7/2008)

IAR

Texas
(1/6/2009)

Virginia
(11/7/2008)

West Virginia
(2/12/2020)

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 66

Date: 9/7/2004

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/11/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/28/1984

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: 12/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/27/2010

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

David Thompson

SPARTA WEALTH PARTNERS

IAR

CHARLOTTE, NC

Jon Hoyle

INNOVATION PARTNERS LLC

Charlotte, NC

Andrew Digirolamo

PFS INVESTMENTS INC.

Charlotte, NC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John R. Kirwan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Robert Kirwan's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view John Robert Kirwan's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

THE STRATEGIC ALLIANCE CORPORATION

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

THE ADVISORS GROUP, INC.

THE ADVISORS GROUP, INC.

PLANNED MANAGEMENT COMPANY

LEHMAN BROTHERS INC.

J.C. BRADFORD & CO.

FIRST TRYON SECURITIES, INC.

J.C. BRADFORD & CO.

Primary Firm SEC Registration

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

State Registrations and Notice Filings

Exams

Series 66

Date: 9/7/2004

Series 65

Date: 6/11/1996

Series 63

Date: 12/28/1984

SIE

Date: 10/1/2018

Series 7

Date: 12/15/1984

Series 24

Date: 5/27/2010

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

Contact information

Similar Advisors