Aaron Pierce Sevigny, a registered representative with CRD number 4314368, is currently associated with United Planners’ Financial Services of America A Limited Partner in Bonita Springs, Florida. According to FINRA BrokerCheck, his record contains a disclosure, which is a flag that investors should review before working with him or any financial advisor.
Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, represents investors harmed by broker misconduct, unsuitable recommendations, and failures in firm supervision. If you worked with Aaron Pierce Sevigny and have concerns about your account, contact us for a free case review. Call 1-888-885-7162.
Who is Aaron Pierce Sevigny?
Table of Contents
Aaron Pierce Sevigny is a registered representative and investment adviser representative. He has been in the securities industry since October 2003, giving him more than two decades of experience. He also uses the name Aaron P. Sevigny in some records.
Sevigny is currently registered with United Planners’ Financial Services of America A Limited Partner. The firm has CRD number 20804 and maintains offices in Bonita Springs, Florida. United Planners is both a FINRA-member broker-dealer and an SEC-registered investment adviser, which means it can offer brokerage and advisory services.
His BrokerCheck report shows at least one disclosure. A disclosure can reflect a customer complaint, a regulatory action, an employment termination, a bankruptcy, a civil judgment, or a criminal matter. Investors should read the full report to understand the nature of the disclosure.
What a BrokerCheck disclosure means
FINRA maintains BrokerCheck so investors can review the background of brokers and advisory firms. A disclosure on a representative’s record does not automatically mean the representative did something wrong, but it does mean there is information that investors should know.
Customer complaints are the most common type of disclosure. These occur when an investor alleges misconduct such as unsuitable recommendations, misrepresentation, unauthorized trading, or excessive fees. Some complaints are resolved through settlement, some through arbitration, and some are withdrawn or denied.
Regulatory actions are another type of disclosure. These can include FINRA enforcement proceedings, state securities enforcement, or SEC actions. A regulatory action typically reflects a formal finding or settlement involving a rule violation.
Investors should not rely on a disclosure count alone. The details matter, including the number of complaints, the dollar amounts involved, the alleged misconduct, and whether the representative has a pattern of similar complaints over time.
United Planners’ supervisory role
Broker-dealers and investment advisers have a duty to supervise their representatives. For brokerage recommendations, the firm must have a supervisory system reasonably designed to detect and prevent misconduct. For advisory services, the firm has a fiduciary duty to act in the client’s best interest.
When a representative has a disclosure, the question is often whether the firm knew or should have known about the conduct and whether the firm took reasonable steps to address it. A firm that fails to supervise can share liability for investor losses.
United Planners’ Financial Services is responsible for the activities of its registered representatives. Investors who believe they were harmed by Aaron Pierce Sevigny may have a claim against him, against the firm, or against both, depending on the facts.
What investors who worked with Aaron Pierce Sevigny can do
If Aaron Pierce Sevigny managed or recommended investments for you, start by reviewing your account statements and any correspondence. Look for transactions you did not authorize, investments that do not match your stated objectives, or fees that seem unusually high.
Compare the investments he recommended to your risk tolerance and financial goals. Ask whether each recommendation was suitable given your age, income, net worth, investment experience, and time horizon. Also look for concentration in a single product or strategy.
Time limits apply to securities claims. The sooner you have a qualified attorney review your records, the better. A lawyer can determine whether you have a claim for unsuitability, misrepresentation, unauthorized trading, or failure to supervise, and whether FINRA arbitration or another forum is appropriate.
How Investment Fraud Lawyers can help
Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, represents investors harmed by unsuitable recommendations, misrepresentation, and failures in firm supervision. Our attorneys review account records, identify red flags, and pursue claims through FINRA arbitration and other forums when appropriate.
If you worked with Aaron Pierce Sevigny or United Planners’ Financial Services and have concerns about your investments, contact us for a free case review. We work on a contingency basis, and past results do not guarantee future outcomes.
Call 1-888-885-7162 or reach out online. Securities claims have time limits, so acting promptly is important.
Frequently asked questions
Who is Aaron Pierce Sevigny?
Aaron Pierce Sevigny is a registered representative and investment adviser representative with CRD number 4314368. He has been in the securities industry since 2003 and is currently registered with United Planners’ Financial Services in Bonita Springs, Florida.
What firm is Aaron Pierce Sevigny registered with?
He is currently registered with United Planners’ Financial Services of America A Limited Partner, a firm with CRD number 20804.
What does a BrokerCheck disclosure mean?
A disclosure means there is a reported event on the representative’s record. It may be a customer complaint, regulatory action, termination, bankruptcy, civil judgment, or criminal matter.
Does a disclosure mean the advisor did something wrong?
Not necessarily. A disclosure is a flag that investors should review. The details of each event determine whether misconduct occurred.
What should investors look for in their accounts?
Investors should review account statements for unauthorized transactions, unsuitable investments, excessive fees, and concentration in a single product or strategy.
Can United Planners’ Financial Services be held responsible?
Possibly. Broker-dealers and investment advisers have a duty to supervise their representatives. A firm can share liability if it failed to supervise adequately.
How do I start a claim review?
Call 1-888-885-7162 or contact Investment Fraud Lawyers online. We will review your records and explain your options at no upfront cost.
Disclaimer: Past results do not guarantee future outcomes. This page provides general information and is not legal advice. No attorney-client relationship is formed by reading this content.
There is no guaranteed recovery in any securities matter. Consult a qualified attorney regarding your specific situation.
