Business Description

Comprehensive fee-based wealth management for business owners, executives, professionals and other affluent clients. Our philosophy is to help the people we serve create and grow their personal wealth, protect and preserve their life savings and plan for the distribution of their assets. This belief system empowers our company to provide the highest level of professionalism, quality service, and objective advice by developing and recommending proven strategies that will help our clients achieve their financial goals.

We are advocates for positive influence and change for the people we observe who are not receiving the comprehensive advice they deserve. For this purpose we are committed to providing financial strategies that allow our clients to enjoy the quality of life, security and financial peace of mind they pursue.

General Information

Gender:

Male

CRD#:

2074636

Firm CRD#:

39543

Name of Broker/Dealer:

Cambridge Investment Research

States Licensed in:

KS, MO

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Non-Profit Organizations, Individual Investors

Education

Academic Background

BS, Finance - Central Missouri State University

Services

Investment Types:

Options & Futures, Alternative Investments, Exchange Traded Funds (ETFs), Mutual Funds, Bonds, Stocks, Annuities

Qualifications & Memberships

Certifications, Accreditations & Designations:

Chartered Financial Consultant (ChFC®), Chartered Life Underwriter (CLU®), Certified Fund Specialist (CFS)

Securities Licenses:

Life & Health, Series 6, Series 63, Series 7

Insurance and Annuity Licenses:

Variable Life, Long Term Care, Variable Annuity, Disability, Life, Health, Annuity

Financial Organization Memberships:

Paladin Registry, Society of Financial Services Professionals

Firm Information

Number of Advisors in Office:

Up to 10 employees

Advisor's Number of Clients:

160

Assets Managed by Advisor:

$50,000,000

Compliance

Registered Investment Advisor:

Yes

Registered Representative:

Yes

Investment Advisor Representative:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$100,000

Compensation Methods:

Hourly, Flat Fee, Commissions, Based on Assets

Prepared By:

James Claiborne, CFS, ChFC

Most Recent Update:

10/04/2008