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BRIAN JOSEPH GOTTA
CRD#: 1219917
IA
Investment Adviser
B
Broker
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNERCRD#: 20804 817 WASHINGTON STREET
STE 302
BRAINTREE, MA 02184
Registration History
19801985199019952000200520102015202020252 FIRMS1984 - 1990 (5 years)IAUNITED PLANNERS' FINANCIAL SER... (CRD# 20804)2012 - Present (12 years)BUNITED PLANNERS' FINANCIAL SER... (CRD# 20804)1990 - Present (34 years)IAGOTTA RETIREMENT SERVICES,INC. (CRD# 128609)2012 - 2012 (<1 year)IAGOTTA RETIREMENT SERVICES,INC. (CRD# 128609)2005 - 2012 (7 years)
Disclosure(s)
View By:
8/5/2024
Customer Dispute
Denied
7/12/2012
Regulatory
Final
5/26/2005
Customer Dispute
Settled
12/5/1980
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 2/6/2024

B
North Carolina 1/13/2014

B
District of Columbia 1/9/2018

B
Pennsylvania 10/17/2014

B
Florida 10/16/2003

B
Rhode Island 2/6/2024

B
Georgia 2/22/2012

B
South Carolina 2/23/2012

B
Massachusetts 5/14/1990

B
Tennessee 2/6/2024

IA
Massachusetts 7/12/2012

B
Texas 1/5/2018

B
Nevada 3/6/2012

IA
Texas 1/8/2024

B
New Hampshire 10/2/2003

B
Vermont 6/17/2004

B
New York 6/26/2004

B
Washington 2/5/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (CRD#:20804)
817 WASHINGTON STREET STE 302, BRAINTREE, MA 02184
Registered with this firm since 7/12/2012

B
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (CRD#:20804)
817 WASHINGTON STREET STE 302, BRAINTREE, MA 02184
Registered with this firm since 4/30/1990

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/31/2012 - 12/10/2012 GOTTA RETIREMENT SERVICES,INC. (CRD#:128609) BRAINTREE, MA
IA
04/06/2005 - 05/01/2012 GOTTA RETIREMENT SERVICES,INC. (CRD#:128609) BRAINTREE, MA
B
08/01/1984 - 04/30/1990 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
08/01/1984 - 04/30/1990 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.