KB
Kenneth L. Bowers
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Albuquerque, NM 87111
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CRD#: 1510064
KB
Professional summary
Kenneth Leroy Bowers is a registered financial advisor currently at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Albuquerque, New Mexico.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Kenneth has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6, Series 51 and Series 26 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.) LIFETIME RETIREMENT STRATEGIES - OWNER - DBA NAME FOR MARKETING PURPOSES ONLY - ALBUQUERQUE, NM - SINCE 07/2009 - INVESTMENT RELATED 2.) TDS GROUP INC. - PRESIDENT - THIS CORPORATION ONLY ACCEPTS RENEWAL BUSINESS WRITTEN PRIOR TO 2015. IT HAS NO OTHER CURRENT USE - ALBUQUERQUE, NM - SINCE 04/2009 - INVESTMENT RELATED 3.) KENNETH L BOWERS - LIFE INSURANCE AGENT - NON-VARIABLE INSURANCE - ALBUQUERQUE, NM - SINCE 12/1989 - INVESTMENT RELATED 4.) LRS OFFICE LLC - MEMBER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - ALBUQUERQUE, NM - SINCE 12/2020 - INVESTMENT RELATED 5.) CERTIFIED EXIT PLANNING ADVISOR CEPA - CEPA - CONSULTING SERVICES - ALBUQUERQUE, NM - SINCE 06/2025 - INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Leroy Bowers's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Leroy Bowers's 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®
NoneExperience
Current
November 5, 2021 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 4121 Eubank Blvd Ne, Albuquerque, NM 87111RIA
BD
CRD#: 20804
Albuquerque, NM
Current
November 8, 2021 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 4121 Eubank Blvd Ne, Albuquerque, NM 87111RIA
BD
CRD#: 20804
Albuquerque, NM
Past
November 9, 2016 - November 8, 2021
GRADIENT SECURITIES, LLC
RIA
CRD#: 127701
ALBUQUERQUE, NM
Past
November 9, 2016 - November 8, 2021
GRADIENT SECURITIES, LLC
BD
CRD#: 127701
ALBUQUERQUE, NM
Past
August 13, 2008 - November 11, 2016
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
ALBUQUERQUE, NM
Past
August 13, 2008 - November 11, 2016
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
ALBUQUERQUE, NM
Past
August 26, 2003 - August 13, 2008
PENSION PLANNERS SECURITIES, INC.
RIA
CRD#: 14068
ALBUQUERQUE, NM
Past
September 25, 2002 - August 13, 2008
PENSION PLANNERS SECURITIES, INC.
BD
CRD#: 14068
ALBUQUERQUE, NM
Past
February 10, 2000 - September 27, 2002
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
Past
December 17, 1996 - February 4, 2000
PENSION PLANNERS SECURITIES, INC.
BD
CRD#: 14068
SACRAMENTO, CA
Past
May 25, 1994 - October 24, 1994
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
April 16, 1993 - November 18, 1996
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, CA
Past
February 6, 1989 - August 14, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
Past
February 6, 1989 - August 14, 1991
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Past
September 22, 1988 - August 14, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
September 22, 1988 - August 14, 1991
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
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UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
APEX RETIREMENT CONSULTING LLC | YEECORP FINANCIAL | WIRE TO WIRE WEALTH | WENDEL FINANCIAL GROUP | WEALTH AVENUE | VOYAGE PARTNERS FINANCIAL STRATEGIES, LLC | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA | UNITED PLANNERS FINANCIAL SERVICES | UNITED PLANNERS | TRIBUTE FINANCIAL INC. | STEWARDSHIP AMERICA FINANCIAL | SKYE FINANCIAL SERVICES, INC | SKS RETIREMENT SOLUTIONS | RIVERCREST FINANCIAL | RINGENBERG FINANCIAL GROUP | RETIREMENT & MONEY STRATEGIES | PALMER NUNN WEALTH MANAGEMENT | MUNKEBY KRAMER | MARION WEALTH MANAGEMENT GROUP | MABE FINANCIAL GROUP | LONG VIEW FINANCIAL SERVICES, INC. | LEE STOERZINGER, INC. | KILMER & COMPANY | INVESTMENT CENTER | HF CAPITAL GROUP LLC | HEMINGWAY WEALTH MANAGEMENT, LLC | GUIDANT PLANNING, INC | GOTTA RETIREMENT SERVICES, INC. | GER LOFTIN WEALTH ADVISORS, LLC | FULL CIRCLE FINANCIAL | FOOTHILL FINANCIAL GROUP | FIRESKY FINANCIAL INC. | FINANCIAL PLANNING ADVISORS, INC. | CATALYST FINANCIAL STRATEGIES LLC | CAPITAL LEGACY PARTNERS, LLC | BROOKHAVEN WEALTH MANAGEMENT INC. | BERAN FINANCIAL PARTNERS
CRD#: 20804 / SEC#: 801-57198, 8-38485
RIA
Registered Investment Advisory firm - SEC (1/28/2000 Approved)BD
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.RR
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
RR
Arizona(11/8/2021)
RR
Colorado(11/8/2021)
RR
Florida(4/30/2025)
RR
Nevada(11/17/2021)
RR
New Mexico(11/8/2021)
IAR
New Mexico(11/8/2021)
RR
Oklahoma(11/8/2021)
IAR
Texas(11/5/2021)
RR
Texas(11/8/2021)
RR
Virginia(4/30/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/7/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UP
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
APEX RETIREMENT CONSULTING LLC | YEECORP FINANCIAL | WIRE TO WIRE WEALTH | WENDEL FINANCIAL GROUP | WEALTH AVENUE | VOYAGE PARTNERS FINANCIAL STRATEGIES, LLC | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA | UNITED PLANNERS FINANCIAL SERVICES | UNITED PLANNERS | TRIBUTE FINANCIAL INC. | STEWARDSHIP AMERICA FINANCIAL | SKYE FINANCIAL SERVICES, INC | SKS RETIREMENT SOLUTIONS | RIVERCREST FINANCIAL | RINGENBERG FINANCIAL GROUP | RETIREMENT & MONEY STRATEGIES | PALMER NUNN WEALTH MANAGEMENT | MUNKEBY KRAMER | MARION WEALTH MANAGEMENT GROUP | MABE FINANCIAL GROUP | LONG VIEW FINANCIAL SERVICES, INC. | LEE STOERZINGER, INC. | KILMER & COMPANY | INVESTMENT CENTER | HF CAPITAL GROUP LLC | HEMINGWAY WEALTH MANAGEMENT, LLC | GUIDANT PLANNING, INC | GOTTA RETIREMENT SERVICES, INC. | GER LOFTIN WEALTH ADVISORS, LLC | FULL CIRCLE FINANCIAL | FOOTHILL FINANCIAL GROUP | FIRESKY FINANCIAL INC. | FINANCIAL PLANNING ADVISORS, INC. | CATALYST FINANCIAL STRATEGIES LLC | CAPITAL LEGACY PARTNERS, LLC | BROOKHAVEN WEALTH MANAGEMENT INC. | BERAN FINANCIAL PARTNERS
CRD#: 20804 / SEC#: 801-57198, 8-38485
RIA
Registered Investment Advisory firm - SEC (1/28/2000 Approved)BD
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)
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.
Company Information
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
CRD#: 20804Albuquerque, NM 87111TRUST BUT VERIFY
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