Business Description

Independent Financial Planner specializing in the areas of Investment Management, Retirement Planning, Estate Planning, Business Planning and Insurance Planning.

Securities Licenses: Series 7 (Registered Representative) and Series 66 (Investment Advisor Representative) registrations in the state of CA.

*Securities and Advisory Services offered through National Planning Corporation (NPC). Member of FINRA, SIPC, and a Registered Investment Advisor

General Information

Gender:

Male

CRD#:

4538639

SEC File#:

Insurance License#:

CA Insurance Lic.: 0D79749

Name of Broker/Dealer:

National Planning Corporation

Name of Custodial Firm:

Pershing LLC

States Licensed in:

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Individual Investors, Businesses

Education

Academic Background

BS Degree in Business Administration, San Jose State University

Services

Investment Types:

Bonds, Stocks, Annuities, Insurance, Mutual Funds, Exchange Traded Funds (ETFs), Alternative Investments

Qualifications & Memberships

Securities Licenses:

Series 66, Series 7

Insurance and Annuity Licenses:

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

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Compliance

Registered Representative:

Yes

Investment Advisor Representative:

Yes

I am an acknowledged fiduciary:

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

Fee Structure:

I am a fee-based financial professional

Minimum Portfolio Size for New Managed Accounts:

$100000

Compensation Methods:

Flat Fee, Commissions, Based on Assets, Hourly

Prepared By:

Robert Galindo