Steve Story: United Planners Advisor Received Complaint

A recent, withdrawn investor complaint against Ogden, Utah financial advisor Steve Story (CRD# 2574091) alleges that he forged a customer’s signature. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with United Planners’ Financial Services of America, doing business as Steve Story and Associates.

Mr. Story’s BrokerCheck report discloses two investor complaints. The most recent, filed in January 2026, alleged that as a representative of United Planners, he forged the customer’s signature in connection with a Jackson annuity. The complaint alleged unspecified damages and was withdrawn in February 2026.

FINRA Rule 2010 stipulates that FINRA-associated persons must “observe high standards of commercial honor and just and equitable principles of trade.” Many types of unethical conduct, such as the forgery of a customer’s signature, may constitute violations of FINRA Rule 2010, provided the activities occur “in the conduct of [the member’s] business.” Financial advisors who fail to uphold this rule may be liable in the event of damages.

An earlier investor complaint, filed in 2008, alleged that as a representative of United Planners, he misrepresented the suitability of investments in order to generate high commissions. In 2010 the complaint reached a settlement of $400,000.

Investors should be aware that brokers like Mr. Story are forbidden by securities industry rules and standard from misrepresenting material facts in connection with their investment recommendations. FINRA Rule 2020 specifically states that that no registered representative shall “effect any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance.” For reference, material facts are pieces of information that could be considered essential to an investor’s decision regarding a product or strategy—for instance, an investor’s risk level or its liquidity. Brokers who misrepresent investments may be liable in the event of losses and/or subject to disciplinary action.

According to the Financial Industry Regulatory Authority, Steve Story holds 30 years of securities industry experience. Based in Ogden, Utah, he has been registered as a broker and an investment advisor with United Planners’ Financial Services of America since 2001 and 2003, respectively, doing business as Steve Story and Associates. His past registrations include Northwestern Mutual Investment Services and Robert W. Baird & Company. His credentials include the passage of seven securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; the NYSE Branch Manager Examination, or Series 12; and the Investment Company Products/Variable Contracts Principal Examination, or Series 26. (Information current as of March 30, 2026.)

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