VN
Victor P. Navarroli
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Chapel Hill, NC 27517
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CRD#: 2315457
VN
Professional summary
Victor Phillip Navarroli is a registered financial advisor currently at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Chapel Hill, North Carolina.
Victor is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Victor has worked at 12 firms and has passed the 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 WEALTH PARTNERS - MANAGING PARTNER - DBA NAME FOR MARKETING PURPOSES - CHAPEL HILL, NC - SINCE 09/2000 - INVESTMENT RELATED 2.) VICTOR NAVARROLI - AGENT - NON-VARIABLE INSURANCE - CHAPEL HILL, NC - SINCE 04/1993 - INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Victor Phillip Navarroli's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Victor Phillip Navarroli'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 14, 2023 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 50101 Governors Drive Ste. 280, Chapel Hill, NC 27517RIA
BD
CRD#: 20804
Chapel Hill, NC
Current
March 14, 2023 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 50101 Governors Drive Ste. 280, Chapel Hill, NC 27517RIA
BD
CRD#: 20804
Chapel Hill, NC
Past
June 22, 2011 - March 17, 2023
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Chapel Hill, NC
Past
June 22, 2011 - March 17, 2023
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Chapel Hill, NC
Past
October 15, 2007 - June 24, 2011
OSAIC FA, INC.
RIA
CRD#: 3978
RALEIGH, NC
Past
October 11, 2007 - June 24, 2011
OSAIC FA, INC.
BD
CRD#: 3978
RALEIGH, NC
Past
June 11, 2003 - October 15, 2007
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
CARY, NC
Past
June 9, 2003 - October 15, 2007
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
CARY, NC
Past
December 31, 2001 - June 11, 2003
OSAIC FA, INC.
RIA
CRD#: 3978
CARY, NC
Past
September 7, 2000 - June 11, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
September 7, 2000 - June 11, 2003
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
June 7, 2000 - August 22, 2000
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
June 7, 2000 - August 22, 2000
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
March 22, 1999 - May 31, 2000
FULCRUM FINANCIAL ADVISORS, INC.
BD
CRD#: 44972
BOSTON, MA
Past
November 24, 1998 - December 8, 1998
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
February 11, 1993 - March 31, 1998
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
February 11, 1993 - March 31, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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
Alabama(3/14/2023)
RR
Arizona(3/14/2023)
RR
Arkansas(3/14/2023)
RR
California(3/14/2023)
RR
Colorado(3/14/2023)
RR
Connecticut(3/14/2023)
RR
Delaware(3/14/2023)
RR
District of Columbia(3/14/2023)
RR
Florida(3/14/2023)
RR
Georgia(3/14/2023)
RR
Hawaii(4/27/2023)
RR
Idaho(3/14/2023)
RR
Illinois(4/13/2023)
RR
Indiana(4/27/2023)
RR
Iowa(3/14/2023)
RR
Kansas(3/14/2023)
RR
Kentucky(3/14/2023)
RR
Louisiana(3/14/2023)
IAR
Louisiana(3/24/2023)
RR
Maine(3/14/2023)
RR
Maryland(3/14/2023)
RR
Massachusetts(3/15/2023)
RR
Michigan(3/14/2023)
RR
Minnesota(3/14/2023)
RR
Mississippi(3/14/2023)
RR
Missouri(3/14/2023)
RR
Montana(4/27/2023)
RR
Nebraska(3/14/2023)
IAR
Nebraska(3/15/2023)
RR
Nevada(3/14/2023)
RR
New Hampshire(3/14/2023)
IAR
New Hampshire(3/22/2023)
RR
New Jersey(3/14/2023)
RR
New York(3/14/2023)
RR
North Carolina(3/14/2023)
IAR
North Carolina(3/14/2023)
RR
Ohio(3/14/2023)
RR
Oregon(4/27/2023)
RR
Pennsylvania(3/14/2023)
RR
Rhode Island(3/14/2023)
RR
South Carolina(3/14/2023)
RR
Tennessee(3/14/2023)
RR
Texas(3/14/2023)
IAR
Texas(3/14/2023)
RR
Utah(4/27/2023)
RR
Vermont(3/14/2023)
RR
Virginia(3/14/2023)
RR
Washington(4/27/2023)
RR
West Virginia(3/14/2023)
RR
Wisconsin(3/14/2023)
RR
Wyoming(4/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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#: 20804Chapel Hill, NC 27517TRUST BUT VERIFY
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