NP
Nichola S. Peacock
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Fresno, CA 93711
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CRD#: 6879855
NP
Professional summary
Nichola Shea Peacock, who also goes by Nichola S Peacock, Nichola Peacock, is a registered financial advisor currently at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Fresno, California.
Nichola is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Nichola has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nichola S Peacock | Nichola Peacock
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.
[Insurance Brokering; Appointed with outside carriers for the purpose of brokering non-registered products; 205 E RIVER PARK CIRCLE #250 FRESNO CA 93720; start 10/2022; Commissions; 15 hours per month, 15 hours during securities trading hours; insurance related] [OPERATING UNDER THE DBA NAME OF NSP WEALTH STRATEGIES & INSURANCE SOLUTIONS FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; (OWNER); (FRESNO, CA); START DATE: 05/2023] [NAIFA; NAIFA has been committed to improving the quality of life for Americans and addressing social problems since 1956 when the association first started developing community service programs.; 600 State Street, Suite A Cedar Falls, IA 50613; Start Date 01/2022; Role/Title: NAIFA Fresno Leader/ Leadership Chair ; Investment Related; 2 hours per month; 1 hours per month during securities trading hours]
CRS (Client Relationship Summary) - RIA
Click below to view Nichola Shea Peacock's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nichola Shea Peacock'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
October 28, 2025 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 7491 N Remington #102, Fresno, CA 93711RIA
BD
CRD#: 20804
Fresno, CA
Current
October 28, 2025 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 7491 N Remington #102, Fresno, CA 93711RIA
BD
CRD#: 20804
Fresno, CA
Past
December 16, 2022 - November 7, 2025
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
FRESNO, CA
Past
October 7, 2022 - November 7, 2025
NYLIFE SECURITIES LLC
BD
CRD#: 5167
FRESNO, CA
Past
June 9, 2021 - September 24, 2022
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Fresno, CA
Past
September 16, 2020 - September 24, 2022
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Fresno, CA
Past
March 23, 2018 - September 14, 2020
NYLIFE SECURITIES LLC
BD
CRD#: 5167
FRESNO, CA
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(10/28/2025)
RR
California(10/28/2025)
IAR
California(10/28/2025)
RR
Florida(10/28/2025)
RR
Georgia(10/28/2025)
RR
Kansas(10/28/2025)
RR
Missouri(10/28/2025)
RR
Nevada(10/28/2025)
RR
Texas(10/28/2025)
IAR
Texas(10/29/2025)
RR
Utah(10/28/2025)
Exams
State Security Law Exam
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)
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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.
Company Information
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
CRD#: 20804Fresno, CA 93711TRUST BUT VERIFY
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