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CHARLES DANIEL YANNICH JR
CRD#: 4181752
IA
B
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNERCRD#: 20804 20 TOWER LANE
STE. 500
AVON, CT 06001
STE. 500
AVON, CT 06001
0
Disclosures
24
Years of Experience
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State Registrations
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Arizona 5/31/2023
B
Massachusetts 5/31/2023
B
California 5/31/2023
B
New Jersey 5/31/2023
B
Connecticut 5/31/2023
B
New York 5/31/2023
IA
Connecticut 5/31/2023
B
Rhode Island 5/31/2023
B
Florida 5/31/2023
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 5/31/2023
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Registered with this firm since 5/31/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/16/2012 - 06/02/2023 | AVON, CT | |
B | 08/16/2012 - 06/02/2023 | AVON, CT | |
IA | 02/13/2002 - 08/17/2012 | EAST HARTFORD, CT | |
B | 01/31/2002 - 08/17/2012 | EAST HARTFORD, CT | |
B | 06/26/2000 - 01/29/2002 | MINNEAPOLIS, MN | |
B | 06/26/2000 - 01/29/2002 | MINNEAPOLIS, MN |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.