PG
Paul R. Gugger
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
CHULA VISTA, CA
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CRD#: 2995371
PG
Professional summary
Paul Roger Gugger is a registered financial advisor currently at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Chula Vista, California.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Paul has worked at 8 firms and has passed the Series 66, SIE and Series 7 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Roger Gugger's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Roger Gugger'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
January 20, 2026 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
BD
CRD#: 20804
CHULA VISTA, CA
Current
January 21, 2026 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
BD
CRD#: 20804
CHULA VISTA, CA
Past
November 8, 2024 - December 23, 2025
OSAIC ADVISORY SERVICES, LLC
RIA
CRD#: 171070
Chula Vista, CA
Past
June 14, 2024 - December 23, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
CHULA VISTA, CA
Past
March 2, 2020 - November 8, 2024
ARBOR POINT ADVISORS
RIA
CRD#: 165127
CHULA VISTA, CA
Past
March 2, 2020 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
CHULA VISTA, CA
Past
August 31, 2010 - March 4, 2020
MORGAN STANLEY
RIA
CRD#: 149777
SAN DIEGO, CA
Past
August 27, 2010 - March 4, 2020
MORGAN STANLEY
BD
CRD#: 149777
SAN DIEGO, CA
Past
October 3, 2005 - August 31, 2010
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SAN DIEGO, CA
Past
September 30, 2005 - August 31, 2010
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SAN DIEGO, CA
Past
June 21, 2005 - October 7, 2005
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
SAN DIEGO, CA
Past
August 16, 2001 - October 7, 2005
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
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(1/21/2026)
IAR
California(1/20/2026)
RR
California(1/21/2026)
RR
Colorado(1/21/2026)
RR
Florida(1/21/2026)
RR
Illinois(1/21/2026)
RR
New York(1/21/2026)
RR
North Carolina(1/21/2026)
RR
Oregon(1/21/2026)
RR
Texas(1/21/2026)
IAR
Texas(1/21/2026)
RR
Wisconsin(1/21/2026)
Exams
State Security Law 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)
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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.
