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CRD 189512
PHOENIX, AZ
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| BRANDON THOMAS OLIVER | Certified Financial Planner | PHOENIX, AZ | 11 | 21 | 2 | no |
| PETER LAURENCE ROWE | n/a | PHOENIX, AZ | 10 | 31 | 1 | no |
| DAVID MATTHEW RILEY | n/a | PHOENIX, AZ | 1 | 17 | 2 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| OLIVER, BRANDON, THOMAS | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | D | yes | 07/2014 | Jul 16, 2026 | Jul 16, 2026 |
| ROWE, PETER, LAURENCE | Member | D | yes | 01/2013 | Jul 16, 2026 | Jul 16, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 1 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | 2 | Oct 28, 2016 | Oct 14, 2015 | PHOENIX, AZ | Team lift out | Other | 1.2% |