Individual Firm
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SERGIO VILLA
CRD#: 5015598
IA
B
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNERCRD#: 20804 1020 STATE ST.
STE. 106
SANTA BARBARA, CA 93101
STE. 106
SANTA BARBARA, CA 93101
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4/5/2016
Customer Dispute
Withdrawn
State Registrations
B
California 9/8/2016
B
North Carolina 7/22/2022
IA
California 9/8/2016
B
Oregon 8/2/2022
B
Hawaii 4/7/2021
B
Texas 10/13/2016
B
Maryland 4/6/2021
IA
Texas 10/19/2016
B
Nevada 9/20/2018
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/8/2016
B
Registered with this firm since 9/8/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/17/2013 - 09/16/2016 | SANTA BARBARA, CA | |
B | 01/15/2013 - 09/16/2016 | SANTA BARBARA, CA | |
IA | 06/23/2009 - 02/13/2013 | SANTA BARBARA, CA | |
B | 06/19/2009 - 02/13/2013 | SANTA BARBARA, CA | |
IA | 06/09/2006 - 06/22/2009 | GOLETA, CA | |
B | 06/09/2006 - 06/22/2009 | GOLETA, CA | |
IA | 11/18/2005 - 06/07/2006 | SANTA BARBARA, CA | |
B | 09/30/2005 - 06/07/2006 | SANTA BARBARA, CA |
For additional information about investment advisers or broker-dealers, please visit
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.