WS
William M. Schindler
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Trappe, PA 19426
Some features on this profile are disabled
CRD#: 2297384
WS
Professional summary
William M Schindler, who also goes by Bill Schindler, William Mercer Schindler, William Schindler, is a registered financial advisor currently at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Trappe, Pennsylvania.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. William has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Schindler | William Mercer Schindler | William Schindler
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.) WILLIAM M. SCHINDLER - INSURANCE AGENT - NON-VARIABLE INSURANCE - TRAPPE, PA - SINCE 08/2023 - INVESTMENT RELATED 2.) CAPITAL LEGACY PARTNERS, LLC - MANAGING PARTNER - DBA NAME FOR MARKETING PURPOSES ONLY - COLLEGEVILLE, PA - SINCE 02/2024 - INVESTMENT RELATED 3.) SCHINDLER FINANCIAL ASSOCIATES, LLC - MANAGING PARTNER - LLC FOR BENEFIT OF TAX PURPOSES - COLLEGEVILLE, PA - SINCE 04/2013 - NOT INVESTMENT RELATED 4.) CAPITAL LEGACY PARTNERS, LLC - MANAGING PARTNER, PRIVATE WEALTH ADVISOR - LLC - TRAPPE, PA - SINCE 08/2019 - NOT INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view William M Schindler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William M Schindler'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
March 5, 2024 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 115 West Main Street 2nd Floor, Ste. C, Trappe, PA 19426RIA
BD
CRD#: 20804
Trappe, PA
Current
March 5, 2024 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 115 West Main Street 2nd Floor, Ste. C, Trappe, PA 19426RIA
BD
CRD#: 20804
Trappe, PA
Past
August 12, 2022 - March 7, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Malvern, PA
Past
March 11, 2022 - March 11, 2024
SEMUS WEALTH PARTNERS, LLC
RIA
CRD#: 305758
Malvern, PA
Past
September 3, 2015 - March 15, 2022
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
BALA CYNWYD, PA
Past
December 2, 2014 - March 15, 2022
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
BALA CYNWYD, PA
Past
September 19, 2012 - November 19, 2014
OSAIC FA, INC.
BD
CRD#: 3978
SPRINGHOUSE, PA
Past
July 25, 2012 - August 28, 2012
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
April 19, 2010 - July 19, 2012
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
COLLEGEVILLE, PA
Past
March 22, 2002 - May 7, 2010
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
COLLEGEVILLE, PA
Past
June 8, 2000 - March 13, 2002
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
April 26, 1993 - June 8, 2000
LUTHERAN BROTHERHOOD SECURITIES CORP.
BD
CRD#: 4205
MINNEAPOLIS, MN
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.
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(3/5/2024)
RR
Colorado(3/5/2024)
RR
Connecticut(3/5/2024)
RR
Delaware(3/5/2024)
RR
Florida(3/5/2024)
RR
Georgia(3/5/2024)
RR
Illinois(4/4/2024)
RR
Maryland(3/5/2024)
RR
Massachusetts(3/6/2024)
RR
New Hampshire(8/12/2025)
RR
New Jersey(3/6/2024)
RR
New York(3/5/2024)
RR
North Carolina(3/5/2024)
RR
Pennsylvania(3/5/2024)
IAR
Pennsylvania(3/5/2024)
RR
South Carolina(3/5/2024)
RR
Texas(3/5/2024)
IAR
Texas(3/5/2024)
RR
Virginia(3/5/2024)
RR
Wisconsin(3/5/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
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)
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.
