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Important Regulatory Information
A broker-dealer, Registered Investment Advisor, BD agent, or Investment Advisor Representative may only transact business in a state if first registered appropriately. Follow-up, individualized responses to persons in a state by such a firm or individual that involve either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made without first complying with appropriate registration requirements.

This information is intended for use only by residents of AZ, CA, HI, MT, PA, UT, & VA. Securities-related services may not be provided to individuals residing any state not listed above. Insurance-related services may not be provided in any states other than AZ, CA, HI, MT, PA, UT, & VA.

Richard K. Shields and Jenna R. Thornton are registered representatives offering securities through United Planners Financial Services. Member FINRA/SIPC Investment advisory services are offered through Synergy Financial Group of Arizona, a Registered Investment Advisory Firm in the state of Arizona. United Planners does not provide tax or legal advice. United Planners and Synergy Financial Group of Arizona are independent companies. This communication is strictly intended for individuals residing in AZ, CA, HI, MT, PA, UT, & VA.. No offers may be made or accepted from any resident outside of AZ, CA, HI, MT, PA, UT, & VA. 

Please don't hesitate to contact us with questions about your financial plan or about specific investment products. We will set up a time to meet to review your needs and address any questions you may have, free of charge and with no obligation.

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Our first priority is helping you take care of yourself and your family. We want to learn more about your personal situation, identify your dreams and goals, and understand your tolerance for risk. Long-term relationships that encourage open and honest communication have been the cornerstone of my foundation of success.

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