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Detailed Report
JAMES WILLIAM TAUSZ
JIM TAUSZ
CRD#: 442956
IA
Investment Adviser
B
Broker Regulated by FINRA
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNERCRD#: 20804 119 CENTRAL AVE. W
CLARION, IA 50525
+1
Registration History
197519801985199019952000200520102015202020253 FIRMS1973 - 1983 (10 years)IABRADFORD FINANCIAL CENTER (CRD# 110953)1999 - Present (26 years)BUNITED PLANNERS' FINANCIAL SER... (CRD# 20804)2006 - Present (18 years)BMULTI-FINANCIAL SECURITIES COR... (CRD# 10299)1999 - 2006 (7 years)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)1989 - 1999 (9 years)BWASHINGTON SQUARE SECURITIES, INC. (CRD# 2882)1995 - 1998 (3 years)BINTEGRATED RESOURCES EQUITY CO... (CRD# 6403)1983 - 1989 (6 years)IAMULTI-FINANCIAL SECURITIES COR... (CRD# 10299)2002 - 2006 (3 years)
Disclosure(s)
View By:
10/4/2022
Customer Dispute
Settled
5/18/2012
Customer Dispute
Settled
9/29/2011
Customer Dispute
Denied
3/23/2005
Customer Dispute
Denied
7/26/2001
Customer Dispute
Closed-No Action
2/4/1998
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama
B
Mississippi
B
Alaska
B
Missouri
B
Arizona
B
Montana
B
Arkansas
B
Nebraska
B
California
B
Nevada
B
Colorado
B
New Jersey
B
Connecticut
B
New Mexico
B
District of Columbia
B
New York
B
Florida
B
North Carolina
B
Georgia
B
North Dakota
B
Hawaii
B
Ohio
B
Idaho
B
Oklahoma
B
Illinois
B
Oregon
B
Indiana
B
Pennsylvania
IA
Iowa
B
South Carolina
B
Iowa
B
South Dakota
B
Kansas
B
Tennessee
B
Kentucky
B
Texas
B
Louisiana
B
Utah
B
Maine
B
Virginia
B
Maryland
B
Washington
B
Massachusetts
B
West Virginia
B
Michigan
B
Wisconsin
B
Minnesota
B
Wyoming

SRO Registrations

B
 FINRA

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (CRD#:20804)
119 CENTRAL AVE. W, CLARION, IA 50525
Registered with this firm since 8/4/2006
IA
BRADFORD FINANCIAL CENTER (CRD#:110953)
119 CENTRAL AVE W, CLARION, IA 50525
Registered with this firm since 1/1/1999
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/03/2002 - 08/10/2006 MULTI-FINANCIAL SECURITIES CORPORATION (CRD#:10299) CLARION, IA
B
 08/18/1999 - 08/10/2006 MULTI-FINANCIAL SECURITIES CORPORATION (CRD#:10299) CLARION, IA
B
 11/19/1989 - 08/25/1999 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
B
 01/12/1995 - 12/31/1998 WASHINGTON SQUARE SECURITIES, INC. (CRD#:2882) WINDSOR, CT
B
 10/05/1983 - 11/19/1989 INTEGRATED RESOURCES EQUITY CORPORATION (CRD#:6403)
B
 07/05/1973 - 10/28/1983 IDS LIFE INSURANCE COMPANY (CRD#:6321)
B
 07/05/1973 - 10/28/1983 IDS MARKETING CORPORATION (CRD#:6363)
B
 07/05/1973 - 10/28/1983 INVESTORS DIVERSIFIED SERVICES, INC. (CRD#:6320)
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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