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Business Description |
My Firm:
GunnAllen Financial is a full service brokerage and investment banking firm with a nationwide presence. For more than two decades, GunnAllen Financial has been providing clients with a wide range of investment products and services to help them prepare for their financial future. Today, GunnAllen Financial continues to provide clients with solutions for all of their financial needs.
Professional Qualifications:
In order to attain a working relationship with my clients it is important that they trust me and have confidence in my ability. I Began my professional career as a financial consultant in 1997 and hold my General Securities Representative (series 7), General Securities Principal (series 24), Uniform Securities Agent State Law (series 63) and Life, Accident & Health Insurance Licenses.
Services Provided:
After meeting with each client I will develop a complete understanding of his or her investment experience, objectives and long term goals. Once this is understood I am able to provide personalized service based upon their current situation.
Personal Data:
Finally, sharing something about me personally helps strengthen my relationships with clients. I’m happily married with three beautiful children and one on the way. I enjoy racquetball, fishing and traveling in my spare time. I also volunteer as a little league coach for baseball and soccer. |
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General Information |
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| Name of Broker/Dealer: |
GunnAllen Financial, Inc.
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| States Licensed in: |
AZ, CA, CO, CT, FL, GA, HI, ID, IL, IN, KY, LA, ME, MD, MA, MI, MN, MS, MO, NV, NJ, NY, NC, OH, OK, OR, PA, RI, SD, TN, TX, VA, WA, WV, WI
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| Years of Experience in Financial Services: |
11
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| Number of Years with Current Firm: |
5
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| I work with the following types of clients: |
Individual Investors
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Education |
| Academic Background |
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| Degree in Computer Science |
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Services |
| Investment Types: |
Private Placements, Bonds, Stocks, Annuities, Insurance, Mutual Funds, 1031 Exchanges, SPACs, REITs
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Qualifications & Memberships |
| Securities Licenses: |
Series 63, Series 24, Series 7
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| Insurance and Annuity Licenses: |
Health, Life
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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Compliance |
| Registered Representative: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| I am a fee-based financial professional: |
Yes
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| Compensation Methods: |
Commissions, Based on Assets
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| Prepared By: |
Salvatore Gambino |
Frequently Asked Questions |
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| Q. |
What are your qualifications? What is your education background? |
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In order to attain a working relationship with our clients it is important that they trust us and have confidence in our ability. My partner John D. Fenimore and I began our professional careers as financial consultants over a decade ago and we both hold General Securities Representative (series 7), Uniform Securities Agent State Law (series 63) and Life, Accident & Health Insurance Licenses. |
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What is your approach to financial planning? |
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Our approach is simple; we first identify the clients goals so we can come up with the most efficient investment strategy to achieve them. Once we have put together all of the different investment vehicles to be used we would than educate the client on how each investment works so they will be able to make an educated decision as to whether or not they wish to make any changes. |
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What services do you offer? |
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Retirement, Estate & College planning are just some of the services that we provide. |
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Will you be the only person working with me? |
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No, you may also be working with my partner John D. Fenimore as well. |
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If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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Absolutely, we do not have discretionary accounts. Any change to a clients account is always discussed with them prior to making that change. |
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How much risk should I be willing to take? |
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That’s something that needs to be determined based upon the answers to several questions we would ask the client. Primarily the amount of risk someone should take is usually based upon the clients age and how close to retirement they are. |
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What services do you provide? What are your specialties? |
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Retirement, Estate & College planning are just some of the services that we provide. |
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What is your experience? How many clients do you currently manage? |
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In order to attain a working relationship with our clients it is important that they trust us and have confidence in our ability. My partner John D. Fenimore and I began our professional careers as financial consultants over a decade ago and we both hold General Securities Representative (series 7), Uniform Securities Agent State Law (series 63) and Life, Accident & Health Insurance Licenses. |
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What financial institution(s) do you represent? |
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GunnAllen Financial and Pershing LLC are the 2 financial institutions we represent. As Independant Advisors we are also appointed with many of the top "AA" rated or better Insurance companies such as ING, John Hancock, Allianz and AIG just to name a few. |
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Do you provide a free initial consultation? |
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Absolutely. Most major Finacial institutions charge clients for this service but we offer it for free because we are that confident in what we do. |
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Why should I choose you as my financial advisor? |
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Because our goal is to completely understand the clients financial situation and goals by asking the correct questions. If a need is then discovered and a change is required, we will always act with integrity and in the best interests of our clients such that each of them would be proud and confident to recommend us to their friends and family. |
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What are your management fees? |
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The fees vary based upon who you choose to run it. |
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What kind of plans do you specialize in? |
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All types of retirement plans including Defined benefit plans. |
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Do you offer any additional services? |
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We also offer Health, Life and Disability insurance. |
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What are your qualifications? |
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In order to attain a working relationship with our clients it is important that they trust us and have confidence in our ability. My partner John D. Fenimore and I began our professional careers as financial consultants over a decade ago and we both hold General Securities Representative (series 7), Uniform Securities Agent State Law (series 63) and Life, Accident & Health Insurance Licenses. |
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What is your approach to 401 K plan rollovers? |
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Our approach is simple; we first identify the clients goals so we can come up with the most efficient investment strategy to achieve them. Once we have put together all of the different investment vehicles to be used we would than educate the client on how each investment works so they will be able to make an educated decision as to whether or not they wish to make any changes. |
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How long does the process of rolling over a 401K plan usually take? |
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It all depends on how long it takes the plan administrator from your old 401K plan to get the check to you. This process can take anywhere from 2-4 weeks. |
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What financial institutions do you represent? |
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GunnAllen Financial and Pershing LLC are the 2 financial institutions we represent. As Independant Advisors we are also appointed with many of the top "AA" rated or better Insurance companies such as ING, John Hancock, Allianz and AIG just to name a few. |
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| Q. |
How many years of experience do you have? |
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Over 10 years of experience. |
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Why should I roll over my 401K plan to your firm? |
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Because our goal is to completely understand the clients financial situation and goals by asking the correct questions. If a need is then discovered and a change is required, we will always act with integrity and in the best interests of our clients such that each of them would be proud and confident to recommend us to their friends and family. |
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Do you provide a free initial consultation? |
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Absolutely. Most major Finacial institutions charge clients for this service but we offer it for free because we are that confident in what we do. |
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