Business Description

As a professional advisor, I can offer you a personalized financial strategy, not a generic investment program. Your individual portfolio will be based on your unique situation, your attitudes and preferences, your dreams and goals. It will be designed to account for change, both in the market and in your circumstances, so that it can work with you and for you at every stage of your life.

My approach to financial planning is straightforward: I focus on becoming your partner in building the future you desire. As we work together, I'll thoroughly explain the investment strategies I recommend, so that you'll be fully comfortable with all aspects of your investment program. Every decision we make will be focused on achieving the results you want. My mission is to help my clients achieve financial independence through professional advice, individualized planning, sound risk management, quality investment products, and personal, efficient service.

General Information

Gender:

Male

CRD#:

4418691

Firm CRD#:

39-1236032

Insurance License#:

E138392

Name of Broker/Dealer:

Robert W. Baird & Co., Incorporated

States Licensed in:

AK, AL, CA, CO, FL, GA, IA, IL, IN, KY, MA, MD, ME, MI, NH, NY, OH, PA, TN, TX, VT

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

Scottrade Financial 2001-2004 Stock Broker
Raymond James Financial 2004-2007 Private Wealth
Robert W. Baird 2007 Private Wealth Management

I work with the following types of clients:

Businesses, Individual Investors, Non-Profit Organizations

Education

Academic Background

University of Alaska, Anchorage

Services

Investment Types:

Unit Investment Trusts (UITs), Annuities, Alternative Investments, Exchange Traded Funds (ETFs), Bonds, Stocks, Options & Futures, Mutual Funds, Insurance, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

Wealth Management Specialist -WMS

Securities Licenses:

Series 7, Series 63, Series 65

Insurance and Annuity Licenses:

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

Financial Organization Memberships:

Paladin Registry

Non-Financial Organization Memberships:

Bradenton Yacht Club, Sarasota Downtown Partnership, Sarasota Young Professionals Group, Manatee Young Professionals Group, Founder of Common Cents Investment group.

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Advisor's Number of Clients:

150

Advisor's Number of Managed Clients:

Advisor's Number of Planning Clients:

Assets Managed by Advisor:

$35,000,000

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

Fee Structure:

I am a fee-based financial professional

Minimum Portfolio Size for New Managed Accounts:

$100,000

Compensation Methods:

Commissions, Based on Assets

Fee % Based on Assets:

Additional Details on Charges:

We can develop the plan go over all the details and implement the plan using commissions or use products that don't have upfront charges and the payments will come to me over time. People forget that part of investment advise is the design and implementation, but more importantly the ongoing discipline and communication with the advisor. Typically this can be done for the same cost people pay for a flat fee.

Prepared By:

Evan R. Guido