James Toddy
James Toddy is a registered investment advisor at United Planners' Financial Services of America a Limited Partner, based in Scottsdale, AZ, with 30 years of industry experience. Their practice areas include Estate Planning, Insurance Planning, Retirement Planning, Tax Planning. Their firm serves 26,942 clients with $11B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
United Planners' financial professionals offer portfolio management services for a fee, also known as an advisory fee. This fee is determined based on the complexity of the service, knowledge, skill, technology, and access warranted to satisfy the client's needs. The advisory fee may also include financial planning and consulting services. The maximum advisory fee is 3.0% annually, but may be lower for Pershing accounts due to a separate program fee. United Planners does not have a minimum advisory fee or a predetermined fee schedule.
Location
7333 E Doubletree Ranch Rd, Ste 120, Scottsdale, AZ, 85258
Get directionsHistory
Regulatory History (1)
Customer Dispute
June 2022Other Business ActivitiesSells Insurance
James is an agent for non-variable insurance since 2001 and owner of Toddy & Associates since 2005, a DBA for marketing purposes. He also licenses software for estate documents since 2024.
Employment History
Current Registrations
United Planners' Financial Services of America a Limited Partner
United Planners' Financial Services of America a Limited PartnerBroker
Previous Registrations
Arete Wealth Advisors, LLC
Center Street Advisors, INC.
Brookstone Capital Management LLC
Brookstone Capital Management LLC
Center Street Securities, INC.Broker
Trustmont Financial Group, INC.Broker
Proequities, INC.Broker
First Financial Equity CorporationBroker
Sterling Financial Investment Group, INC.Broker
Joseph Charles & Assoc., INC.Broker
State Registrations8 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.