Last Updated: May 2025 – Greenville, SC
Here’s what you need to know about Greenville, SC stockbroker Cary Edward Urich:
- Name: Mr. Cary Edward Urich
- Current Employer: Vanderbilt Securities, LLC / Vanderbilt Advisory Services
- DBA: Simplicity (FMO/IMO), Streamline Asset Management
- Prior Employers: United Planners’ Financial Services of America; H. Beck, Inc.; Raymond James Financial Services; J.J.B. Hilliard, W.L. Lyons, LLC; Quick & Reilly, Inc.; Merrill Lynch
- Function: Stockbroker / Financial Advisor
- Aliases: Cary E. Urich
- Primary Location: Greenville, SC
- CRD Number: 2132001
- Can Cary Urich be sued in FINRA arbitration? Yes
- Sanctioned by FINRA: No
- Terminated by prior Employer(s): Yes, three times.
- Highest Settlement or Award: $450,000
If you’ve sustained damages from Mr. Urich, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Cary Urich As Your Stockbroker?
Two customer disputes have been filed by customers of United Planners alleging wrongdoing by Cary Urich. The most recent case, filed in June 2024, involved allegations of unsuitability, negligence, and deception in relation to inverse/leveraged Exchange Traded Funds (ETFs). The claim was settled for $325,000.
In the other FINRA arbitration case (Case No. 22-01463), filed in July 2022, similar allegations were made—including breach of fiduciary duty, misrepresentation, and self-dealing—again related to leveraged ETFs. The case settled in August 2023, for $450,000.
These allegations may represent violations of FINRA Rule 2111 (Suitability) and FINRA Rule 2020 (Use of Manipulative, Deceptive, or Other Fraudulent Devices), particularly given the risky nature of inverse/leveraged ETFs and the need to ensure such products are suitable for each investor’s risk profile and financial circumstances.
Mr. Urich has been terminated from three prior firms:
- J.J.B. Hilliard, W.L. Lyons, LLC (2010): Permitted to resign after accepting a client gift without following firm procedures.
- Raymond James Financial Services Advisors, Inc. (2010): Terminated for “misrepresentation regarding material facts” related to a previous termination.
- Raymond James Financial Services, Inc. (2010): Terminated for “misrepresentation regarding material facts” related to a previous termination.
Allegations of Broker Misconduct Against Cary Urich
Clients of Cary Urich have made the following allegations:
- Unsuitable and Deceptive Sales of Leveraged ETFs
- Misrepresentation and Self-Dealing in ETF Sales
Recover Your Investment Losses Now With Rex Securities Law
Our Investigations of other United Planners brokers
Other Investigations of Raymond James Advisors
If you have suffered investment losses in an account handled by Cary Edward Urich, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.