Operations Team
The Operations department at United Planners' acts as a liaison between you and Pershing. We also act as OSJ for reps reporting to the Home Office and supervise OSJs. When necessary, we act on your behalf with mutual fund and/or annuity companies. Our job is to help make your job easier.
About Our Staff
Together the Operations team of back-office professionals has the combined experience of over 150 years. The operations staff is here to help you with trades, ACAT's, IRA distributions, new accounts, check requests, FED wires and much more. When trying to reach us, instead of an automated phone system you will be connected to an operations team member, not a call center. You can actually speak to the person who is processing your request. It is our goal to be fully trained in all areas to better assist you with your needs.
Pershing
The Operations department works as a liaison between you and Pershing. Pershing offers vast resources to fit your financial organization needs. They have the experience and resources that can ensure that all your expectations will be met. Pershing provides an online brokerage platform (NetExchange Pro) that will allow you to do a variety of day to day business and research. You can browse account information, enter and review trades, access quotes, news, charts and research, not to mention download account statements and tax forms.
Turn around times
Our goal is to provide same day turn around times once we receive correctly completed paperwork. Some items may require additional approval and could take longer. Should anything occur that would result in a delay of paperwork, you will be immediately notified by a member of our team.
Imaging
As an effort to combine technology with the day to day necessity of filling out paperwork, we offer a back end imaging system. This allows us to record any paperwork that we receive as well as provide easy access to historical documentation.
Fixed Income Securities
Fixed Income Securities, L.P. (FIS) works exclusively with financial professionals in the fixed income arena specializing in fixed income products, portfolio analysis and investment strategies. In addition to their own inventory, they are a premier online resource that gives you access to thousands of institutional bond offerings from hundreds of broker/dealers nationwide. They offer unparalleled analytical support and services including assistance in portfolio analysis and tune-ups, client-ready presentations, fixed income strategies, swaps, ladders and bids. FIS also provides access to new issues, market news and current market commentaries.
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