CV
Claudia Velasco
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Scottsdale, AZ 85258
Some features on this profile are disabled
CRD#: 6330838
CV
Professional summary
Claudia Velasco, who also goes by Claudia Rubi Dunlap, Claudia Elliott, Claudia Rubi Elliott, Claudia Rubi Guerrero, is a registered financial advisor currently at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Scottsdale, Arizona.
Claudia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Claudia has worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Claudia Rubi Dunlap | Claudia Elliott | Claudia Rubi Elliott | Claudia Rubi Guerrero
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)08/28/2020 - North Texas Wealth Management, LLC - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 08/2019 2)08/28/2020 - Non-Variable Insurance - inv rel - at reported business location - start: 2007 3)08/28/2020 - Notary - state of Texas - non-inv rel - Garland, TX - start: 09/2019 3)2/24/2023 - Revolution Church - Not Investment Related - 2705 Virgina Pkwy McKinney, TX 75071 - Outside/W-2 Employment - Support Staff - Start Date - 02/26/2023 - 6 Hours Per Month/0 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Claudia Velasco's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Claudia Velasco'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®
NoneExperience
Current
August 29, 2025 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 7333 E Doubletree Ranch Rd Ste 120, Scottsdale, AZ 85258RIA
BD
CRD#: 20804
Scottsdale, AZ
Current
August 29, 2025 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 7333 E Doubletree Ranch Rd Ste 120, Scottsdale, AZ 85258RIA
BD
CRD#: 20804
Scottsdale, AZ
Past
May 13, 2024 - September 2, 2025
ETC BROKERAGE SERVICES, LLC
BD
CRD#: 145276
Dallas, TX
Past
October 26, 2021 - May 8, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
ALLEN, TX
Past
November 23, 2020 - May 8, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
ALLEN, TX
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
Alabama(8/29/2025)
RR
Alaska(8/29/2025)
RR
Arizona(8/29/2025)
IAR
Arizona(9/2/2025)
RR
Arkansas(8/29/2025)
RR
California(8/29/2025)
RR
Colorado(8/29/2025)
RR
Connecticut(8/29/2025)
RR
Delaware(8/29/2025)
RR
District of Columbia(8/29/2025)
RR
Florida(8/29/2025)
RR
Georgia(8/29/2025)
RR
Hawaii(8/29/2025)
RR
Idaho(8/29/2025)
RR
Illinois(8/29/2025)
RR
Indiana(8/29/2025)
RR
Iowa(8/29/2025)
RR
Kansas(8/29/2025)
RR
Kentucky(8/29/2025)
RR
Louisiana(8/29/2025)
RR
Maine(8/29/2025)
RR
Maryland(8/29/2025)
RR
Massachusetts(8/29/2025)
RR
Michigan(8/29/2025)
RR
Minnesota(8/29/2025)
RR
Mississippi(8/29/2025)
RR
Missouri(8/29/2025)
RR
Montana(8/29/2025)
RR
Nebraska(8/29/2025)
RR
Nevada(8/29/2025)
RR
New Hampshire(8/29/2025)
RR
New Jersey(8/29/2025)
RR
New Mexico(8/29/2025)
RR
New York(8/29/2025)
RR
North Carolina(8/29/2025)
RR
North Dakota(8/29/2025)
RR
Ohio(8/29/2025)
RR
Oklahoma(8/29/2025)
RR
Oregon(8/29/2025)
RR
Pennsylvania(8/29/2025)
RR
Rhode Island(8/29/2025)
RR
South Carolina(8/29/2025)
RR
South Dakota(8/29/2025)
RR
Tennessee(8/29/2025)
RR
Texas(8/29/2025)
IAR
Texas(8/29/2025)
RR
Utah(8/29/2025)
RR
Vermont(8/29/2025)
RR
Virginia(8/29/2025)
RR
Washington(8/29/2025)
RR
West Virginia(8/29/2025)
RR
Wisconsin(8/29/2025)
RR
Wyoming(8/29/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/23/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory 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)
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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)
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.
