Mission Statement

The United Planners' Compliance Department will focus on the following core valueswhen serving our customers.

First, we will service our clients with integrity. We will conduct our actions in a manner that adheres
not only with industry standards, but values the customers that we serve.

Second, we will conduct ourselves in a professional manner with both internal and external customers.
We will hold ourselves to high standards and treat others and their ideas with respect.

Third, we will embrace education and continue to grow our industry knowledge by being studious of
industry rules and firm procedures. We will use this knowledge to assist our customers and reduce risk
for the firm by implementing compliance techniques in a business friendly way.

Fourth, we will provide exceptional service to both internal and external customers by assisting them
with compliance issues. We will explore mutual solutions, set reasonable expectations, and follow
through on promised actions.