Aaron P. Sevigny

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Bonita Springs, FL 34134

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CRD#: 4314368

Professional summary

Aaron Pierce Sevigny, AIF®, who also goes by Aaron P Sevigny, is a registered financial advisor currently at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Bonita Springs, Florida.

Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Aaron has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Aaron P Sevigny

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.) ACADIA WEALTH MANAGEMENT LLC - PRESIDENT & CEO - DBA NAME FOR MARKETING PURPOSES ONLY - BONITA SPRINGS, FL - SINCE 08/2006 - INVESTMENT RELATED 2.) TENARON, LLC - OWNER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGMENT - BONITA SPRINGS, FL - SINCE 04/2012 - INVESTMENT RELATED 3.) GULFSHORE PLAYHOUSE - FINANCE COMMITTEE MEMBER - REGIONAL PROFESSIONAL THEATER, OVERSEE THE DAY-TO-DAY INCOME AND EXPENDITURES REQUIRED TO OPERATE THIS NON-PROFIT ORGANIZATION - NAPLES, FL - SINCE 10/2015 - NOT INVESTMENT RELATED 4.)TENARENTA, LLC - OWNER - BOAT RENTAL - ESTERO, FL - SINCE 09/2016 - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Pierce Sevigny's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Aaron Pierce Sevigny's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

August 25, 2006 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 3511 Bonita Bay Blvd Ste 2, Bonita Springs, FL 34134

RIA

CRD#: 20804

Bonita Springs, FL

Current

August 21, 2006 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 3511 Bonita Bay Blvd Ste 2, Bonita Springs, FL 34134

RIA

CRD#: 20804

Bonita Springs, FL

Past

June 6, 2006 - August 22, 2006

FINANCIAL ADVISORY CONSULTANTS, LLC

RIA

CRD#: 122629

NAPLES, FL

Past

August 2, 2004 - August 21, 2006

TRIAD ADVISORS LLC

CRD#: 25803

NAPLES, FL

Past

October 22, 2003 - August 16, 2004

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

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 PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804 / SEC#: 801-57198, 8-38485

RIA

Registered Investment Advisory firm - SEC (1/28/2000 Approved)

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.

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

Alabama
(1/2/2024)

Arizona
(7/20/2010)

California
(10/3/2008)

Colorado
(1/2/2019)

Connecticut
(7/20/2010)

Delaware
(6/7/2007)

Florida
(8/21/2006)

IAR

Florida
(8/25/2006)

Georgia
(7/20/2010)

Idaho
(7/20/2010)

Illinois
(2/12/2007)

Indiana
(5/7/2008)

Kentucky
(6/7/2007)

Maine
(6/7/2007)

Maryland
(2/4/2014)

Massachusetts
(9/7/2006)

Michigan
(4/11/2007)

Minnesota
(2/26/2013)

Missouri
(11/30/2012)

Nevada
(2/7/2012)

New Hampshire
(6/7/2007)

New Jersey
(6/7/2007)

New York
(1/23/2007)

North Carolina
(6/8/2007)

Ohio
(3/27/2007)

Pennsylvania
(6/27/2007)

Rhode Island
(7/20/2010)

South Carolina
(9/21/2016)

South Dakota
(1/2/2019)

Tennessee
(9/12/2024)

Texas
(3/28/2022)

Virginia
(4/4/2008)

West Virginia
(1/2/2013)

Wisconsin
(4/7/2008)

Wyoming
(9/25/2015)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/10/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/21/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 6/22/2007

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/11/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804 / SEC#: 801-57198, 8-38485

RIA

Registered Investment Advisory firm - SEC (1/28/2000 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

UNITED PLANNERS FINANCIAL SERVICES FORM ADV PART 2A - 8.23.2024 (3/24/2025)

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.

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Firm Stability Insights

Aaron P. Sevigny

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Pierce Sevigny's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Aaron Pierce Sevigny's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

FINANCIAL ADVISORY CONSULTANTS, LLC

TRIAD ADVISORS LLC

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

State Registrations and Notice Filings

Exams

Series 66

Date: 1/10/2005

SIE

Date: 10/1/2018

Series 7

Date: 10/21/2003

Series 4

Date: 6/22/2007

Series 24

Date: 10/11/2006

FINRA

Current Firm

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

TRUST BUT VERIFY

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