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Steven L. Story
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Wailuku, Maui, HI 96793
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CRD#: 2574091
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Professional summary
Steven Larry Story is a registered financial advisor currently at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Wailuku, Maui, Hawaii.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Steven has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 26 and Series 12 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.) STEVEN STORY & ASSOCIATES INC. - REP/ AGENT - INSURANCE AND FINANCIAL SERVICES - LAYTON, UT - SINCE 07/2001 - INVESTMENT RELATED 2.) STEVE STORY INDEPENDENT INSURANCE (FIXED INSURANCE) - AGENT - NON-VARIABLE INSURANCE - OGDEN, UT - SINCE 05/2001 - INVESTMENT RELATED 3.) STEVE STORY & ASSOCIATES, INC - PRESIDENT - DBA NAME FOR MARKETING PURPOSES ONLY - OGDEN, UT - SINCE 05/2001 - INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Steven Larry Story's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Larry Story'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
July 18, 2003 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 70 Hauoli St. Ste. 415, Wailuku, Maui, HI 96793Office #2: 3550 Harrison Blvd Ste 3, Ogden, UT 84403Office #3: 108 Clark St., Wausau, WI 54401Office #4: 3030 N.w. Expressway Ste. 300, Oklahoma City, OK 73112RIA
BD
CRD#: 20804
Wailuku, Maui, HI
Current
July 11, 2001 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 70 Hauoli St. Ste. 415, Wailuku, Maui, HI 96793Office #2: 3550 Harrison Blvd Ste 3, Ogden, UT 84403Office #3: 108 Clark St., Wausau, WI 54401Office #4: 3030 N.w. Expressway Ste. 300, Oklahoma City, OK 73112RIA
BD
CRD#: 20804
Wailuku, Maui, HI
Past
April 21, 1995 - July 20, 2001
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
April 21, 1995 - July 20, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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
Alabama(1/3/2019)
RR
Alaska(6/8/2007)
RR
Arizona(7/11/2001)
RR
Arkansas(7/14/2014)
RR
California(7/11/2001)
RR
Colorado(7/11/2001)
RR
Connecticut(1/4/2017)
RR
Delaware(2/23/2021)
RR
Florida(1/4/2011)
RR
Georgia(7/14/2014)
RR
Hawaii(11/21/2002)
IAR
Hawaii(7/18/2003)
RR
Idaho(7/11/2001)
RR
Illinois(5/23/2005)
RR
Indiana(7/21/2011)
RR
Iowa(7/14/2014)
RR
Kansas(1/9/2015)
RR
Kentucky(1/4/2019)
RR
Louisiana(1/21/2010)
RR
Maine(1/7/2015)
RR
Maryland(7/16/2014)
RR
Massachusetts(2/19/2021)
RR
Michigan(4/17/2006)
RR
Minnesota(11/14/2008)
RR
Mississippi(6/27/2014)
RR
Missouri(1/5/2015)
RR
Montana(12/10/2009)
RR
Nevada(7/11/2001)
RR
New Hampshire(2/21/2019)
RR
New Jersey(4/20/2012)
RR
New Mexico(10/15/2013)
RR
New York(3/30/2010)
RR
North Carolina(6/27/2014)
RR
North Dakota(6/14/2007)
RR
Ohio(4/13/2010)
RR
Oklahoma(5/21/2004)
RR
Oregon(1/24/2006)
RR
Pennsylvania(7/21/2011)
RR
Rhode Island(11/15/2023)
RR
South Carolina(1/4/2017)
RR
South Dakota(7/8/2014)
RR
Tennessee(1/11/2017)
RR
Texas(1/10/2006)
RR
Utah(7/11/2001)
IAR
Utah(7/18/2003)
RR
Virginia(6/27/2014)
RR
Washington(1/24/2006)
RR
Wisconsin(5/23/2005)
IAR
Wisconsin(10/8/2009)
RR
Wyoming(7/11/2001)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 6/30/1998
NYSE Branch Manager ExaminationSRO 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#: 20804Wailuku, Maui, HI 96793TRUST BUT VERIFY
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