Xerxes L. Nabong
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Mansfield Center, CT 06250
Some features on this profile are disabled
CRD#: 4942634
Professional summary
Xerxes Lawingco Nabong, CFP® is a registered financial advisor currently at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Mansfield Center, Connecticut.
Xerxes is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Xerxes has worked at 6 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.
1.) WEALTH AVENUE - OWNER, CO-FOUNDER, WEALTH ADVISOR - DBA NAME FOR MARKETING PURPOSES ONLY - VIRGINIA BEACH, VA - SINCE 1/2020 - INVESTMENT RELATED 2.) PXP, LLC - OWNER - REAL ESTATE SALES/ RENTAL PROPERTIES/PROPERTY MANAGEMENT - VIRGINIA BEACH, VA - SINCE 04/2018 - INVESTMENT RELATED 3.) GREENWICH PARTNERS, LLC - MEMBER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - SUFFOLK, VA - SINCE 03/2019 - INVESTMENT RELATED 4.) XERXES L. NABONG - LICENSED LIFE, HEALTH, DISABILITY. LTC INSURANCE AGENT - NON-VARIABLE INSURANCE - VIRGINIA BEACH, VA - SINCE 06/2005 - INVESTMENT RELATED 5.) RESERVOIR FINANCIAL - PARTNER - DBA NAME FOR MARKETING PURPOSES ONLY - MANSFIELD CENTER, CT - SINCE 07/2021 - INVESTMENT RELATED 6.) MALINIAK & NABONG WEALTH ADVISORY SERVICES, LLC - MEMBER - PASS THROUGH FOR TAX PURPOSES - VIRGINIA BEACH, VA - SINCE 03/2010 - INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Xerxes Lawingco Nabong's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Xerxes Lawingco Nabong'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®
CFP®
Start date: 2009
Experience
Current
January 5, 2016 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 205 Storrs Rd, Mansfield Center, CT 06250Office #2: 7137 E. Rancho Vista Dr. Ste. B27, Scottsdale, AZ 85251Office #3: 20101 Sw Birch St Ste 130-d, Newport Beach, CA 92660RIA
BD
CRD#: 20804
Mansfield Center, CT
Current
January 5, 2016 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 205 Storrs Rd, Mansfield Center, CT 06250Office #2: 7137 E. Rancho Vista Dr. Ste. B27, Scottsdale, AZ 85251Office #3: 20101 Sw Birch St Ste 130-d, Newport Beach, CA 92660RIA
BD
CRD#: 20804
Mansfield Center, CT
Past
June 15, 2011 - December 31, 2015
OSAIC SERVICES, INC.
RIA
CRD#: 133763
VIRGINIA BEACH, VA
Past
June 10, 2011 - December 31, 2015
OSAIC SERVICES, INC.
BD
CRD#: 133763
VIRGINIA BEACH, VA
Past
March 26, 2010 - August 3, 2010
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
VIRGINIA BEACH, VA
Past
March 26, 2010 - June 16, 2011
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
VIRGINIA BEACH, VA
Past
May 30, 2005 - April 7, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
VIRGINIA BEACH, VA
Past
May 16, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
May 16, 2005 - April 7, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
VIRGINIA BEACH, VA
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(9/18/2018)
RR
California(1/5/2016)
RR
Colorado(1/5/2016)
RR
Connecticut(1/5/2016)
IAR
Connecticut(7/6/2021)
RR
Florida(1/5/2016)
RR
Georgia(7/6/2021)
RR
Idaho(1/5/2016)
RR
Kansas(7/6/2021)
RR
Kentucky(12/1/2020)
RR
Maryland(1/5/2016)
RR
Massachusetts(7/7/2021)
RR
Michigan(7/6/2021)
RR
Nevada(7/12/2021)
RR
New Jersey(1/5/2016)
RR
New York(1/5/2016)
RR
North Carolina(1/5/2016)
RR
Ohio(1/6/2016)
RR
Pennsylvania(1/5/2016)
RR
Texas(1/5/2016)
IAR
Texas(1/6/2016)
RR
Virginia(1/5/2016)
IAR
Virginia(1/5/2016)
RR
Washington(7/2/2021)
RR
West Virginia(7/15/2021)
RR
Wisconsin(7/6/2021)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
CRD#: 20804Mansfield Center, CT 06250TRUST BUT VERIFY
Monitor Xerxes Nabong
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
