KO
Kenneth W. Oliverio
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Scottsdale, AZ 85258
Some features on this profile are disabled
CRD#: 2957427
KO
Professional summary
Kenneth William Oliverio JR, AIF®, who also goes by Billy Oliverio, Kenneth W Oliverio Jr, Kenneth W Oliverio, is a registered financial advisor currently at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Scottsdale, Arizona.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Kenneth has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Billy Oliverio | Kenneth W Oliverio Jr | Kenneth W Oliverio
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.) THE KENNETH & EMELINDA OLIVERIO FAMILY TRUST - CO-TRUSTEE - ACTING IN A FIDUCIARY CAPACITY - PHOENIX, AZ - SINCE 04/2018 - INVESTMENT RELATED 2.) 6816 & 6818 17TH AVE-12, LLC - MEMBER & MANAGER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - PHOENIX, AZ - SINCE 06/2019 - INVESTMENT RELATED 3.) 815 & 910 MARYLAND -32 & MARLETTE-28, LLC - MEMBER & MANAGER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - PHOENIX, AZ - SINCE 06/2019 - INVESTMENT RELATED 4.) 1907 & 1911 BERRIDGE-8, LLC - MEMBER & MANAGER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - PHOENIX, AZ - SINCE 06/2019 - INVESTMENT RELATED 5.) 1919 BERRIDGE-6, LLC - MEMBER & MANAGER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - PHOENIX, AZ - SINCE 06/2019 - INVESTMENT RELATED 6.) 1932 BERRIDGE-3, LLC - MEMBER & MANAGER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - PHOENIX, AZ - SINCE 06/2019 - INVESTMENT RELATED 7.) 2041 BERRIDGE-18, LLC - MEMBER & MANAGER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - PHOENIX, AZ - SINCE 06/2019 - INVESTMENT RELATED 8.) KENNETH WILLIAM OLIVERIO - INSURANCE AGENT - NON-VARIABLE INSURANCE - SCOTTSDALE, AZ - SINCE 11/2024 - INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth William Oliverio JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kenneth William Oliverio JR'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®
Experience
Current
September 20, 2012 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 7333 East Doubletree Ranch Rd, Suite 120, Scottsdale, AZ 85258RIA
BD
CRD#: 20804
Scottsdale, AZ
Current
June 9, 2010 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 7333 E. Doubletree Ranch Road #120, Scottsdale, AZ 85258-2023RIA
BD
CRD#: 20804
Scottsdale, AZ
Past
January 11, 2006 - January 25, 2010
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
PHOENIX, AZ
Past
January 11, 2006 - January 25, 2010
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PHOENIX, AZ
Past
January 27, 2005 - December 31, 2005
M. S. HOWELLS & CO.
BD
CRD#: 104100
SCOTTSDALE, AZ
Past
May 20, 2004 - January 28, 2005
VOYA INVESTMENTS DISTRIBUTOR, LLC
BD
CRD#: 37886
WINDSOR, CT
Past
July 7, 2003 - April 12, 2004
SPELMAN & CO., INC.
BD
CRD#: 10232
PHOENIX, AZ
Past
July 7, 2003 - April 12, 2004
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
February 4, 2002 - April 12, 2004
SUNAMERICA SECURITIES, INC.
RIA
CRD#: 20068
PHOENIX, AZ
Past
December 22, 1997 - April 12, 2004
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
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(4/24/2018)
RR
Alaska(4/24/2018)
RR
Arizona(6/23/2010)
IAR
Arizona(9/20/2012)
RR
Arkansas(4/23/2018)
RR
California(4/24/2018)
RR
Colorado(4/30/2018)
RR
Connecticut(4/24/2018)
RR
Delaware(4/26/2018)
RR
District of Columbia(4/24/2018)
RR
Florida(4/24/2018)
RR
Georgia(4/30/2018)
RR
Hawaii(4/23/2018)
RR
Idaho(4/24/2018)
RR
Illinois(4/23/2018)
RR
Indiana(4/25/2018)
RR
Iowa(4/24/2018)
RR
Kansas(4/27/2018)
RR
Kentucky(4/24/2018)
RR
Louisiana(4/24/2018)
RR
Maine(4/24/2018)
RR
Maryland(4/24/2018)
RR
Massachusetts(5/16/2018)
RR
Michigan(4/25/2018)
RR
Minnesota(4/27/2018)
RR
Mississippi(4/26/2018)
RR
Missouri(4/24/2018)
RR
Montana(4/24/2018)
RR
Nebraska(4/26/2018)
RR
Nevada(5/2/2018)
RR
New Hampshire(5/2/2018)
RR
New Jersey(4/23/2018)
RR
New Mexico(4/24/2018)
RR
New York(4/26/2018)
RR
North Carolina(4/26/2018)
RR
North Dakota(5/10/2018)
RR
Ohio(4/23/2018)
RR
Oklahoma(4/26/2018)
RR
Oregon(4/26/2018)
RR
Pennsylvania(4/24/2018)
RR
Rhode Island(4/27/2018)
RR
South Carolina(4/24/2018)
RR
South Dakota(4/24/2018)
RR
Tennessee(4/24/2018)
RR
Texas(4/25/2018)
RR
Utah(4/24/2018)
RR
Vermont(4/25/2018)
RR
Virginia(4/24/2018)
RR
Washington(4/24/2018)
RR
West Virginia(5/4/2018)
RR
Wisconsin(4/23/2018)
RR
Wyoming(4/26/2018)
Exams
State Security Law Exam
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.
