Business Description

As an independent wealth advisory firm, Wurm & Frye is committed to delivering exceptional service and trustworthy advice to families and foundations, guiding them toward their highest priorities with expertise in strategic financial planning, diversified portfolio management and our commitment to meaningful and timely communication with our clients.

We believe that diversification is the key to building and preserving wealth.

General Information

Gender:

Male

CRD#:

2861953

Insurance License#:

0C07678

Name of Broker/Dealer:

LPL Financial

States Licensed in:

AZ,CA.CO,FL,MT,NV,NY,OK,OR,PA,TX,VI,WA,WI,WY

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

California State University, Sacramento
Western Montana College

Services

Investment Types:

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

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, Insurance License (Life & Health; Long Term Care; Specify below), Chartered Retirement Planning Counselor (CRPC®)

Securities Licenses:

Series 24, Series 7, Series 9, Series 10, Series 63, Series 65

Insurance and Annuity Licenses:

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

Financial Organization Memberships:

Financial Planning Association (FPA)

Firm Information

Number of Advisors in Office:

Up to 10 employees

Firm's Number of Clients:

225

Assets Managed by Firm:

$120 million

Advisor's Number of Clients:

120

Assets Managed by Advisor:

$70 million

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:

$500,000

Compensation Methods:

Based on Assets

Fee % Based on Assets:

.50-1.50%

Additional Details on Charges:

We are primarily a fee-based asset management group. We have found that fee-based platforms help to cultivate objectivity and minimize possible conflicts of interest.

Prepared By:

Jerod Wurm