Jose E. Vivero

UNITED FINANCIAL PLANNING GROUP LLC

Hauppauge, NY 11788-2981

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CRD#: 6491974

Professional summary

Jose Eduardo Vivero, CFP®, who also goes by Jose E VIvero, Jose Vivero, is a registered financial advisor currently at UNITED FINANCIAL PLANNING GROUP LLC located in Hauppauge, New York.

Jose is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Jose has worked at 6 firms and has passed the Series 65, Series 63, Series 7, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jose E Vivero | Jose Vivero

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. 4/3/2020 - MONECO ADVISORS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 4/13/2020 - Moneco Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Licensed Admin. - Start Date: 03/30/2020 - 160 Hours Per Month/160 Hours During Securities Trading - Time Spent 100% - I provide administrative support to Moneco Advisors, an independent investment advisor firm. I started this business activity in 03/2020. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jose Eduardo Vivero'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®

CFP^®

Certified Financial Planner

Experience

Current

June 6, 2025 - Present

UNITED FINANCIAL PLANNING GROUP LLC

Office #1: 350 Motor Parkway Suite 300, Hauppauge, NY 11788-2981

RIA

CRD#: 149843

Hauppauge, NY

Past

June 18, 2020 - January 30, 2025

MONECO ADVISORS

RIA

CRD#: 171922

FAIRFIELD, CT

Past

April 3, 2020 - May 30, 2023

LPL FINANCIAL LLC

CRD#: 6413

FAIRFIELD, CT

Past

February 11, 2019 - March 10, 2020

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

Norwalk, CT

Past

February 8, 2019 - March 10, 2020

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Norwalk, CT

Past

September 26, 2018 - February 7, 2019

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

SHELTON, CT

Past

September 18, 2018 - February 7, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

SHELTON, CT

Past

July 29, 2015 - April 10, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

STAMFORD, CT

Past

June 26, 2015 - April 10, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

STAMFORD, CT

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 FINANCIAL PLANNING GROUP LLC

THINKING CAP FINANCIAL | UNITED FINANCIAL PLANNING GROUP LLC

CRD#: 149843 / SEC#: 801-113324

RIA

Registered Investment Advisory firm - (5/28/2018 Approved)

New York

Registered Investment Advisory firm - (6/5/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(6/6/2025)

IAR

New York
(6/6/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/29/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/7/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/1/2018

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/26/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

UNITED FINANCIAL PLANNING GROUP LLC

THINKING CAP FINANCIAL | UNITED FINANCIAL PLANNING GROUP LLC

CRD#: 149843 / SEC#: 801-113324

RIA

Registered Investment Advisory firm - (5/28/2018 Approved)

New York

Registered Investment Advisory firm - (6/5/2018 Terminated)

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Contact information

Main Address

350 Motor Parkway Suite 300, Hauppauge, NY 11788-2981

Mailing Address

Phone number

(631) 234-0871

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-03-21 UNITED FINANCIAL PLANNING GROUP FORM ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	190
AUM (Assets Under Management)	$ 305,377,680

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

Firm Stability Insights

Jose E. Vivero

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jose Eduardo Vivero's CRS (Customer Relationship Summary).

Certified licenses

Experience

MONECO ADVISORS

LPL FINANCIAL LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

UNITED FINANCIAL PLANNING GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/29/2015

Series 63

Date: 7/7/2015

Series 7

Date: 10/1/2018

SIE

Date: 10/1/2018

Series 6

Date: 6/26/2015

Current Firm

UNITED FINANCIAL PLANNING GROUP LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UNITED FINANCIAL PLANNING GROUP LLC

TRUST BUT VERIFY

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