PV
Pasquale Vitucci
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CRD#: 2290163
PV
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.
Pasquale Vitucci, who also goes by Pat VItucci, was a registered financial professional .
Pasquale is a previously registered financial professional and started their career in finance in 1992. Pasquale had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Pat Vitucci
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.) VITUCCI BUSINESS CENTER LLC - OWNER/MANAGEMENT - COMMERCIAL RENTAL PROPERTY - WALNUT CREEK, CA - SINCE 11/2010 - INVESTMENT RELATED 2.) REAL ESTATE - OWNER/MANAGEMENT - RESIDENTIAL RENTAL PROPERTY - KAMUELA, HI - SINCE 04/2013 - INVESTMENT RELATED 3.) VITUCCI & ASSOCIATES, INC - OWNER - MARKETING SERVICES AND CORPORATION USED TO PAY EMPLOYEE SALARIES - WALNUT CREEK, CA - SINCE 01/1993 - NOT INVESTMENT RELATED 4.) PASQUALE VITUCCI - AUTHOR - AUTHOR OF BOOK TITLED "DON'T INVEST AND FORGET" - WALNUT CREEK, CA - SINCE 10/2008 - NOT INVESTMENT RELATED 5.) VITUCCI INSURANCE SERVICES - LICENSED AGENT - FIXED INSURANCE PRODUCTS - WALNUT CREEK, CA - SINCE 11/1992 - INVESTMENT RELATED 6.) CITADEL LAW GROUP CORP - COLLEAGUE - PLANNING SERVICES - WALNUT CREEK, CA - SINCE 08/2015 - NOT INVESTMENT RELATED 7.) STEAD STORAGE - PASSIVE INVESTOR - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - RENO, NV - SINCE 05/2019 - INVESTMENT RELATED 8.) DIAF MARKETING INC - EMPLOYEE - RADIO MARKETING - CONCORD, CA - SINCE 12/2016 - INVESTMENT RELATED 9.) CREATING YOUR PENSION, INC - DBA NAME FOR MARKETING PURPOSES ONLY - WALNUT CREEK, CA - SINCE 6/2020 - INVESTMENT RELATED 10.) WISDOMCREEK ADVISORS, INC. - FOUNDER AND CEO - DBA NAME FOR MARKETING PURPOSES ONLY - WALNUT CREEK, CA - SINCE 04/2022 - INVESTMENT RELATED 11.) PROXY FREEDOM LLC - CONSULTANT - DBA NAME FORM MARKETING PURPOSES ONLY - WALNUT CREEK, CA - SINCE 09/2022 - INVESTMENT RELATED
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®
NoneExperience
Past
June 16, 2017 - September 18, 2023
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
CRD#: 20804
WALNUT CREEK, CA
Past
June 14, 2017 - September 18, 2023
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
WALNUT CREEK, CA
Past
October 17, 2008 - June 15, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
WALNUT CREEK, CA
Past
October 17, 2008 - June 15, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
WALNUT CREEK, CA
Past
October 31, 2005 - October 17, 2008
OSAIC SERVICES, INC.
RIA
CRD#: 133763
WALNUT CREEK, CA
Past
October 31, 2005 - October 17, 2008
OSAIC SERVICES, INC.
BD
CRD#: 133763
WALNUT CREEK, CA
Past
August 7, 2000 - October 31, 2005
SUNAMERICA SECURITIES, INC.
RIA
CRD#: 20068
WALNUT CREEK, CA
Past
July 14, 2000 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
May 17, 1994 - July 17, 2000
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
December 23, 1992 - June 8, 1994
CALIFORNIA ONE INVESTMENTS
BD
CRD#: 27037
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".
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)
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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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.
