Gregory L. Schoenfeld

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CRD#: 3237974

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Gregory Lee Schoenfeld was a registered financial professional .

Gregory is a previously registered financial professional and started their career in finance in 1999. Gregory had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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. COMPASS WEALTH ADVISORS;INVESTMENT ADVISOR REPRESENTATIVE;OWNER;5% OF TIME SPENT;NO CUSTODIANS USED, ONLY PROVIDING FINANCIAL PLANNING SERVICES. 2. I AM AN INSURANCE AGENT, LICENSED FOR LIFE INSURANCE, HEALTH INSURANCE AND/OR ANNUITY LINES OF BUSINESS WITH UNITED CAPITAL RISK MANAGEMENT. I MAY RECEIVE COMPENSATION FROM INSURANCE COMPANIES FOR THE SALES OF INSURANCE PRODUCTS TO CLIENTS OR OTHER INDIVIDUALS. 3. ST PAUL'S UNITED METHODIST, 405 W BEARDSLEY AVE.,ELKHART, IN 46514. BEGAN 01/01/03 AS AN ADMINSTRATION COUNCIL CHAIRPERSON INVOLVED IN ALL COMMITTEES OF THE CHURCH. NOT INVESTMENT RELATED. DEVOTES 5HR/MO, 0/TRADE.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 5, 2017 - October 28, 2022

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

ELKHART, IN

Past

September 28, 2012 - October 3, 2016

HARBOUR INVESTMENTS, INC.

CRD#: 19258

ELKHART, IN

Past

August 20, 2009 - October 22, 2012

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

ELKHART, IN

Past

October 13, 2006 - December 31, 2017

COMPASS WEALTH ADVISORS, LLC

RIA

CRD#: 117129

ELKHART, IN

Past

September 8, 2000 - August 20, 2009

MUTUAL SERVICE CORPORATION

CRD#: 4806

ELKHART, IN

Past

July 8, 1999 - September 6, 2000

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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".

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/28/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/7/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/3/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/11/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/7/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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Contact information

Main Address

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	Cover Page	Report

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.

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Firm Stability Insights

Gregory L. Schoenfeld

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HARBOUR INVESTMENTS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

COMPASS WEALTH ADVISORS, LLC

MUTUAL SERVICE CORPORATION

PFS INVESTMENTS INC.

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 2/28/2001

Series 63

Date: 7/7/1999

SIE

Date: 10/3/2016

Series 7

Date: 11/11/2003

Series 6

Date: 7/7/1999

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

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