David H. Walker

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Santa Barbara, CA 93101

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CRD#: 4915184

Professional summary

David Hovey Walker, who also goes by David Walker, is a registered financial advisor currently at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Santa Barbara, California.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. David has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Walker

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.) PROTEUS INVESTMENTS LLC; INVESTMENT RELATED; 8599 Haven Ave, Suite 202, Rancho Cucamonga, CA, 91730; REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT; PARTNER; START DATE: 02/2010; Approx less than one (1) hour per month, not during trading hours; Passive investment. 2.) DAVID WALKER; INVESTMENT RELATED; 222 EAST CARRILLO ST, SUITE 304, SANTA BARBARA, CA, USA, 93101; NON-VARIABLE INSURANCE; AGENT; START DATE: SINCE 11/2023; approx. less than one (1) hour per month, during trading hours. Insurance sales including fixed annuities. 3.) UNITED PLANNERS OF AMERICA; INVESTMENT RELATED; 7333 E. DOUBLETREE RANCH ROAD #120, SCOTTSDALE, AZ 85258; Broker Dealer; Registered Representative; START DATE: 11/2023; Approx. 5 hours per month, during trading hours; brokerage services. 4.) BAIRD WALKER WEALTH STRATEGY GROUP (formerly, BAIRD WEALTH STRATEGY GROUP); INVESTMENT RELATED; 222 EAST CARRILLO ST, SUITE 304, SANTA BARBARA, CA, USA, 93101; DBA NAME FOR MARKETING PURPOSES ONLY; PARTNER; START DATE: 05/2024; Approx 80 hours per month, during trading hours; Investment advisory services. 5.) SEAGULL LANE ASSET MANAGEMENT LLC; INVESTMENT RELATED; 222 EAST CARRILLO ST, SUITE 304, SANTA BARBARA, CA, USA, 93101; REGISTERED INVESTMENT ADVISOR; PRESIDENT, INVESTMENT ADVISOR Representative; START DATE: 01/2025; Approx 80 hours per month, during trading hours; investment advisory services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Hovey Walker's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view David Hovey Walker'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®

None

Experience

Current

November 8, 2023 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 222 E Carrillo St #304, Santa Barbara, CA 93101Office #2: 19671 Beach Blvd. Ste. 426, Huntington Beach, CA 92648

RIA

CRD#: 20804

Santa Barbara, CA

Current

March 7, 2025 - Present

Office #1: 222 East Carrillo St Suite 304, Santa Barbara, CA 93101

SANTA BARBARA, CA

Current

November 8, 2023 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 222 E Carrillo St #304, Santa Barbara, CA 93101Office #2: 19671 Beach Blvd. Ste. 426, Huntington Beach, CA 92648

RIA

CRD#: 20804

Santa Barbara, CA

Past

February 6, 2009 - November 9, 2023

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

DENVER, CO

Past

June 5, 2007 - December 15, 2008

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

Past

June 30, 2006 - May 31, 2007

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

Past

June 2, 2005 - December 12, 2005

CITIGROUP DERIVATIVES MARKETS INC.

CRD#: 133084

MINNETONKA, MN

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

Arizona
(11/8/2023)

California
(11/8/2023)

IAR

California
(11/8/2023)

Colorado
(11/8/2023)

Hawaii
(12/13/2024)

Idaho
(1/2/2025)

Illinois
(1/2/2025)

Michigan
(1/2/2025)

Nevada
(11/8/2023)

New Jersey
(1/2/2025)

New York
(1/2/2025)

North Carolina
(11/8/2023)

Ohio
(11/8/2023)

Oregon
(11/8/2023)

Pennsylvania
(11/8/2023)

South Carolina
(1/2/2025)

Texas
(11/8/2023)

IAR

Texas
(11/8/2023)

Utah
(1/2/2025)

Washington
(1/2/2025)

Wisconsin
(11/8/2023)

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: 10/30/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/17/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/1/2005

General Securities Representative 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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Advisor Monitoring

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David H. Walker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Hovey Walker's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view David Hovey Walker's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

GLOBAL ATLANTIC DISTRIBUTORS, LLC

PACIFIC SELECT DISTRIBUTORS, LLC

CITIGROUP DERIVATIVES MARKETS INC.

Primary Firm SEC Registration

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

State Registrations and Notice Filings

Exams

Series 66

Date: 10/30/2023

Series 63

Date: 8/17/2005

SIE

Date: 10/1/2018

Series 7

Date: 6/1/2005

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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