JC
John R. Currier
UNITED BROKERAGE SERVICES,
Clover, SC 29710
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CRD#: 2836047
JC
Professional summary
John Richard Currier is a registered financial advisor currently at UNITED BROKERAGE SERVICES, INC located in Clover, South Carolina.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. John has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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)06/02/2022 - Blackbridge Financial - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2)06/02/2022 - idSquares.com - Online Sales of Identification labels - Non-Inv Label - Charlotte, NC 3)06/23/2022 - INDEPENDENT ADVISOR ALLIANCE, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date - 06/13/2022 - 160 Hours Per Month/ 160 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 06/22. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4)06/23/2022 - INDEPENDENT ADVISOR ALLIANCE, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Start Date - 6/13/22 - Time Spent 100%.
CRS (Client Relationship Summary) - RIA
Click below to view John Richard Currier's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Richard Currier'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
April 4, 2023 - Present
UNITED BROKERAGE SERVICES, INC
Office #1: 5196 Charlotte Hwy, Clover, SC 29710Office #2: 6821 Carnegie Blvd, Charlotte, NC 28211Office #3: 1201 Knox Abbott Dr, Cayce, SC 29033Office #4: 901 E Main St, Lincolnton, NC 28092RIA
BD
CRD#: 39062
Clover, SC
Current
April 4, 2023 - Present
UNITED BROKERAGE SERVICES, INC
Office #1: 5196 Charlotte Hwy, Clover, SC 29710Office #2: 6821 Carnegie Blvd, Charlotte, NC 28211Office #3: 1201 Knox Abbott Dr, Cayce, SC 29033Office #4: 901 E Main St, Lincolnton, NC 28092RIA
BD
CRD#: 39062
Clover, SC
Past
August 4, 2022 - April 25, 2023
PATRICK CAPITAL MARKETS, LLC
BD
CRD#: 16518
Irvine, CA
Past
June 10, 2022 - August 18, 2022
INDEPENDENT ADVISOR ALLIANCE, LLC
RIA
CRD#: 168267
Concord, NC
Past
June 8, 2022 - August 10, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
CONCORD, NC
Past
January 30, 2012 - August 27, 2021
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
Past
August 3, 2007 - January 10, 2012
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
May 5, 2000 - June 18, 2007
TOUCHSTONE SECURITIES, INC.
BD
CRD#: 1526
CINCINNATI, OH
Past
March 3, 1997 - April 3, 2000
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
NEW YORK, NY
Past
January 6, 1997 - February 19, 1997
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
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".
UB
UNITED BROKERAGE SERVICES, INC
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC
CRD#: 39062 / SEC#: 801-80804, 8-48685
RIA
Registered Investment Advisory firm - SEC (1/9/2015 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Kentucky
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/26/2015 Terminated)New Jersey
Registered Investment Advisory firm - SEC (1/30/2015 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (1/22/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/21/2015 Terminated)West Virginia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia 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
North Carolina(4/4/2023)
IAR
North Carolina(4/4/2023)
RR
South Carolina(4/4/2023)
IAR
South Carolina(4/4/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UB
UNITED BROKERAGE SERVICES, INC
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC
CRD#: 39062 / SEC#: 801-80804, 8-48685
RIA
Registered Investment Advisory firm - SEC (1/9/2015 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Kentucky
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/26/2015 Terminated)New Jersey
Registered Investment Advisory firm - SEC (1/30/2015 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (1/22/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/21/2015 Terminated)West Virginia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
514 Market Street, Parkersburg, WV 26101
Mailing Address
P. O. Box 1508, Parkersburg, WV 26102-1508
Phone number
(888) 424-6158
Established
West Virginia since 04/24/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
101
SEC notice filing (17 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED ASSET MANAGEMENT CORP. | OWNER | |
| ADAMS, RICHARD MATTHEW JR | CHAIRMAN OF THE BOARD/DIRECTOR | 2656091 |
| BOARD, ANGIE MARIE | FINOP | 6464533 |
| EARL, MICHEAL LEN | CHIEF COMPLIANCE OFFICER | 4266715 |
| GURTIS, JULIE RITCHIE | DIRECTOR | |
| HUMPHREY, MATTHEW LEE | CHIEF EXECUTIVE OFFICER/DIRECTOR | 5943475 |
| MOCK, DONALD FREDERICK | DIRECTOR | 5059205 |
| MUDLAFF, THOMAS JAMES | CHIEF OPERATIONS OFFICER | 2359466 |
| REYNOLDS, FRANK KEVIN | DIRECTOR | 5731814 |
| SHAVER, AMI LEE | DIRECTOR | 2771684 |
Regulatory assets under management
| Total Number of Accounts | 1,889 |
| AUM (Assets Under Management) | $ 389,130,559 |
Disclosures
| Bond | 1 |
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 BROKERAGE SERVICES, INC
CRD#: 39062Clover, SC 29710TRUST BUT VERIFY
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