Career
Dave Hauer has been Vice President Compliance, Chief Compliance Officer of United Planners' Financial Services of America A Limited Partner since July 2018. Dave Hauer is a control person of the firm and directly owns under 5% of it.
United Planners' Financial Services of America A Limited Partner is a Scottsdale, AZ firm with $12.8B under management, 30,369 clients and 546 advisers across 210 offices, as of its June 2026 filing.
A February 2023 United Planners biography said Dave Hauer’s previous experience included trading, variable-annuity preapproval and supervision roles.
- – present · 14 yearsScottsdale, AZ · Adviser representative · Firm CRD 20804
- Sagepoint Financial, Inc.– · 5 yearsPhoenix, AZ · Adviser representative · Firm CRD 133763
Credentials and registrations
Investment adviser representative registrations
| State | Status | Since |
|---|---|---|
| Arizona | Approved | 8 June 2012 |
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 30 May 2006 |
| Series 53 | Municipal Securities Principal Examination | 21 February 2006 |
| Series 24 | General Securities Principal Examination | 29 July 2005 |
| Series 4 | Registered Options Principal Examination | 22 February 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 11 August 2003 |
| Series 7 | General Securities Representative Examination | 25 June 2003 |
- Name
- Municipal Securities Representative Examination
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Dave B Hauer
- CRD
- 4018434
- Office
- 7333 EAST DOUBLETREE RANCH RD, SUITE 120, Scottsdale, AZ 85258
- Firm bio
- unitedplanners.com
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Dave Hauer work?
Dave Hauer has been Vice President Compliance, Chief Compliance Officer of United Planners' Financial Services of America A Limited Partner since July 2018, and is a control person of the firm.
Is Dave Hauer a financial advisor?
Yes. Dave Hauer has a current investment-adviser registration in Arizona, through United Planners' Financial Services of America A Limited Partner since June 2012.
How many years of experience does Dave Hauer have?
Dave Hauer has 23 years in the financial industry, since July 2003, across 2 adviser firms.
What exams has Dave Hauer passed?
Dave Hauer has passed 9 licensing exams: the Series 7, Series 63, Series 4, Series 24, Series 53, Series 66, Series 14, Series 99TO and Series 52TO. The earliest, the Series 7, was passed in June 2003. FINRA credited Dave Hauer with the SIE, which began in October 2018.
Where did Dave Hauer work before United Planners' Financial Services of America A Limited Partner?
Before United Planners' Financial Services of America A Limited Partner, Dave Hauer was registered through Sagepoint Financial, Inc., July 2006 to May 2012.
Where is Dave Hauer based?
Dave Hauer’s registered office is in Scottsdale, AZ.