Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 21, 2018 indicate that Massachusetts-based United Planners’ Financial Services of America broker/adviser Thomas Riquier has received customer disputes and a pending regulatory complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Riquier (CRD# 400088).
Thomas Riquier has spent 44 years in the securities industry and has been registered with United Planners’ Financial Services of America in Danvers, Massachusetts since 1992. Previous registrations include New England Securities in New York, New York (1994-2001); Main Street Management Company in Boston, Massachusetts (1985-1991); MHA Financial Corporation (1981-1985); and NEL Equity Services Corporation (1972-1981). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 25, 1990, and Series 1 (Registered Representative Examination), which he obtained on January 25, 1972. He is a registered broker and investment adviser with 17 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Georgia, Maine, Maryland, Massachusetts, Montana, Nevada, New Hampshire, New Jersey, New York, South Carolina, Virginia, and Washington.
According to his BrokerCheck report, he has received three customer complaints and one pending complaint by state regulatory authorities.