Business Description

As an independent CERTIFIED FINANCIAL PLANNER™ professional, I specialize in providing retirement income planning, risk-controlled investment management, tax and wealth preservation solutions to pre-retired and retired individuals. This begins with a commitment to educating and inspiring my clients to achieve a higher awareness and understanding of their financial lives. Developing long-term relationships, putting service first, and growing with my clients are of the utmost importance.

If you would like further information, please don’t hesitate to contact me by phone or E-mail.

Securities Offered through LPL Financial Member FINRA/SIPC

General Information

Gender:

Male

CRD#:

4799605

Insurance License#:

0E46196

Name of Broker/Dealer:

LPL Financial

States Licensed in:

CA, FL, IL

States Willing to do Business in:

CA, FL, IL

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Non-Profit Organizations, Individual Investors, Businesses

Education

Academic Background

Bachelor of the Arts degree in Economics from California State University at Northridge.

Masters of Business Administration in Financial Planning at California Lutheran University

Services

Investment Types:

Exchange Traded Funds (ETFs), Mortgages & Real Estate, Alternative Investments, Options & Futures, FOREX & Currency, Mutual Funds, Commodities, Insurance, Annuities, Stocks, Bonds, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant

Securities Licenses:

Series 66, Series 7

Insurance and Annuity Licenses:

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

Financial Organization Memberships:

Financial Planning Association (FPA)

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Assets Managed by Firm:

$75,000,000

Advisor's Number of Clients:

Assets Managed by Advisor:

$15,000,000

Compliance

Registered Investment Advisor:

Yes

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

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$50,000

Compensation Methods:

Hourly, Flat Fee, Commissions, Subscriptions, Based on Assets

Fee % Based on Assets:

1.25

Hourly Rate:

$250

Minimum Fee Charged for Managed Accounts:

1.0

Minimum Fee Charged for Hourly Planning Accounts:

250

Prepared By:

Tim W. Geisbauer, MBA, CFP®

Frequently Asked Questions

Q.	What are your qualifications? What is your education background?

Q.	What is your approach to financial planning?

Q.	How are you compensated? How will I pay for your services?

What are your qualifications? What is your education background?

Bachelor of Arts, Economics - California State University, Northridge Masters of Business Administration, Financial Planning - California Lutheran University. Certified Financial Planner ™ Professional

What is your approach to financial planning?

With an emphasis on sound investment management and comprehensive financial planning, I lay the foundation for improving the lives of my clients by helping them achieve financial independence.

How are you compensated? How will I pay for your services?

Hourly or fee-based asset management.