Patrick Ertz, financial advisor Scottsdale AZ
86 score

Patrick Ertz

CRD Number: 3121566
Current Firm: United Planners' Financial Services Of America A Limited Partner

Patrick Ertz (CRD# 3121566) is an Investment Advisor Representative working at United Planners' Financial Services Of America A Limited Partner in Scottsdale, AZ and has over 17 years of experience in the finance industry. Patrick Ertz has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Sharon M Aumen Trust Scottsdale, AZ Jun 2013 - Current 3
United Planners' Financial Services Scottsdale, AZ Oct 2011 - Current 5
Chisman Family Trust Scottsdale, AZ Sep 2005 - Current 11
Guardian Financial Services, Inc. Scottsdale, AZ Dec 2000 - Current 16
Ims Securities, Inc. Houston, TX Sep 1998 - Nov 2011 13
Ims Financial Advisors, Inc. Houston, TX Sep 1998 - Nov 2011 13
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1998
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
Get Details on the FINRA Advisor Check site
Contact Info for Patrick L. Ertz
Phone Number: 480-991-0225
Registered State(s):
  • AZ
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
86

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