UNITED BROKERAGE SERVICES INC
UNITED BROKERAGE SERVICES, INC Legal Name
Adviser information for UNITED BROKERAGE SERVICES INC last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | West Virginia, United States |
Employees
| Total Number of Employees | 101 |
|---|---|
| Investment Advisory/Research | 53 |
| Registered Broker-Dealer Representatives | 70 |
| Registered State Investment Advisers | 53 |
| Licensed Agents of an Insurance Company | 77 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 790 | $249.7M |
| Total | 790 | $249.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 774 | $237.7M |
| HNW Individuals | 16 | $12.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1751 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 249.7M |
| Portfolio Manager | 0 |
| Both for Same | 0 |
Identifiers
| SEC RIA File Number | 801-80804 |
|---|---|
| SEC ERA File Number | 801-80804 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 39062 |
| Legal Entity Identifier | None |
Principal Office
514 MARKET STREETPARKERSBURG
WV
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 888-424-6158, Fax: (304) 424-3042
Websites
Chief Compliance Officer
MICHEAL LEN EARL
CHIEF COMPLIANCE OFFICER
514 MARKET STREET
PARKERSBURG
WV
United States
Tel:
304-424-8878
Fax:
304-424-3042
M****@*******************M
(Full email address available in API data)
Regulatory Contact
TOM MUDLAFF
CHIEF OPERATING OFFICER
2071 CHAIN BRIDGE DR
VIENNA
VA
United States
Tel:
240-762-5886
Fax:
304-424-3042
T*******@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ADAMS, RICHARD MATTHEW JR | Individual | – | CHAIRMAN OF THE BOARD/DIRECTOR | 10/1998 | < 5% |
| SHAVER, AMI LEE | Individual | – | DIRECTOR | 03/2002 | < 5% |
| BOARD, ANGIE MARIE | Individual | – | FINOP | 03/2016 | < 5% |
| UNITED BANKSHARES, INC. | Domestic Entity | UNITED BANK | INDIRECT OWNER | 04/1995 | > 75% |
| UNITED ASSET MANAGEMENT CORP. | Domestic Entity | – | OWNER | 08/2011 | > 75% |
| UNITED BANK | Domestic Entity | UNITED ASSET MANAGEMENT CORP | INDIRECT OWNER | 12/2001 | > 75% |
| EARL, MICHEAL LEN | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2015 | < 5% |
| GURTIS, JULIE RITCHIE | Individual | – | DIRECTOR | 03/2015 | < 5% |
| HUMPHREY, MATTHEW LEE | Individual | – | CHIEF EXECUTIVE OFFICER/DIRECTOR | 01/2017 | < 5% |
| MUDLAFF, THOMAS JAMES | Individual | – | CHIEF OPERATIONS OFFICER | 12/2017 | < 5% |
| STULL, MARK ALLEN | Individual | – | SALES MANAGER | 02/2020 | < 5% |
| REYNOLDS, FRANK KEVIN | Individual | – | DIRECTOR | 01/2020 | < 5% |
| MOCK, DONALD FREDERICK | Individual | – | DIRECTOR | 01/2020 | < 5% |