Brian Gotta, financial advisor Scottsdale AZ
43 score

Brian Gotta

CRD Number: 1219917
Current Firm: United Planners' Financial Services Of America A Limited Partner

Brian Gotta (CRD# 1219917) is an Investment Advisor Representative working at United Planners' Financial Services Of America A Limited Partner in Scottsdale, AZ and has over 29 years of experience in the finance industry.

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Company Name Location Dates Years
United Planners Financial Services Scottsdale, AZ May 2012 - Current 4
Ye Olde Garrison Inc. Braintree, MA Apr 2008 - Current 8
Gotta Retirement Services, Inc. Braintree, MA Nov 2007 - Current 9
Havenwood, LLC Braintree, MA Dec 2006 - Current 10
Brian Gotta Insurance Sales Briantree, MA Jan 1998 - Current 18
United Planners' Financial Services Scottsdale, AZ Apr 1990 - Current 26
Self Employed / Notary Braintree, MA Apr 1990 - Current 26
Maresta Insurance Agency Braintree, MA Apr 1990 - Dec 2007 17
Financial Planning Advocates,inc. Braintree, MA Apr 1990 - Dec 2007 17
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1987
S65 NASAA Investment Advisors Law Examination Jun 1999
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
  • Regulatory Event
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Brian J. Gotta
Phone Number: 480-991-0225
Registered State(s):
  • MA
By the Numbers
  • Total Assets Under Management
    1,806
    MILLIONS
  • Total Number of Accounts
    9,587
    ACCOUNTS
  • Average Account Value
    $188,339
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
43

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