Erik U. Handcock
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.
Erik Ulysses Handcock was a registered financial professional .
Erik is a previously registered financial professional and started their career in finance in 2003. Erik had worked at 13 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2021 - August 23, 2021
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
March 3, 2021 - August 23, 2021
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
November 6, 2020 - March 18, 2021
SECURITIES AMERICA ADVISORS, INC.
November 6, 2020 - March 18, 2021
SECURITIES AMERICA, INC.
February 12, 2019 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
February 12, 2019 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
October 14, 2015 - February 15, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 14, 2015 - February 15, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 7, 2014 - October 13, 2015
CETERA INVESTMENT ADVISERS LLC
March 7, 2014 - October 13, 2015
CETERA INVESTMENT SERVICES LLC
August 19, 2013 - December 11, 2013
FIRST ALLIED ADVISORY SERVICES, INC.
July 31, 2013 - November 19, 2013
FIRST ALLIED SECURITIES, INC.
April 23, 2012 - August 12, 2013
LPL FINANCIAL LLC
April 23, 2012 - August 12, 2013
LPL FINANCIAL LLC
July 2, 2010 - April 16, 2012
ARVEST WEALTH MANAGEMENT
July 2, 2010 - April 16, 2012
ARVEST WEALTH MANAGEMENT
February 27, 2003 - July 15, 2010
WADDELL & REED
January 29, 2003 - July 15, 2010
WADDELL & REED
Primary Firm SEC Registration
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
CRD#: 20804 / SEC#: 801-57198, 8-38485
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
CRD#: 20804 / SEC#: 801-57198, 8-38485
Contact information
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.
