Raguel Ruth Shaw
Investment Adviser Representative at United Planners' Financial Services OF America A Limited Partner
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Raguel Ruth Shaw is an investment adviser representative with United Planners' Financial Services of America A Limited Partner in Phoenix, AZ, where they have been registered since 2024. They have worked in the securities industry since 2024 and were previously registered with Vanguard Marketing Corporation. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Arizona.
Office
Advisors at this office: 5
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Arizona
- Broker:
6 states and territories
Arizona, Idaho, Mississippi, New Mexico, Pennsylvania, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- UnemployedFeb 2014 – Aug 2017Mesa, AZ
- TCT Real EstateMay 2018 – no end date reportedGoodyear, AZ
- Arizona School of Real EstateApr 2018 – May 2018Scottsdale, AZ
- The Vanguard Group, Inc.Feb 2024 – Jul 2024Scottsdale, AZ
- Fiscal PeaceAug 2017 – Jun 2024Mesa, AZ
- United Planners Financial ServicesJul 2024 – no end date reportedScottsdale, AZ
- Raguel Shaw Real Estate/ TCT Real EstateMay 2018 – no end date reportedMesa, AZ
- Raguel R ShawNov 2024 – no end date reportedPhoenix, AZ
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About United Planners' Financial Services OF America A Limited Partner
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Hourly
- Fixed fee
- Firm account minimum
- $10,000 (waivable)
- Program Fee Tier 10.19%
- Program Fee Tier 20.05%
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 362
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Scottsdale, AZ
- SEC file number:
- 801-57198
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of June 18, 2026
View full firm profileOther advisors at United Planners' Financial Services OF America A Limited Partner
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Raguel Ruth Shaw has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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