Business Description

My mission is to help clients achieve their financial objectives prudently and thoughtfully through a long-term financial planning relationship with a knowledgeable advisor.

General Information

Gender:

Male

CRD#:

2598232

Insurance License#:

CA Insurance #0B61550

Name of Broker/Dealer:

Amerprise Financial Services, Inc.

Name of Custodial Firm:

Ameriprise Trust Company

States Licensed in:

AZ, CA, CO, CT, FL, HI, IL, KY, MO, NC, NM, NV, OK, OR, WA, WI

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Individual Investors

Education

Academic Background

BS, Finance with a minor in Economics - California State University, Hayward (1994)

Services

Investment Types:

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

Qualifications & Memberships

Certifications, Accreditations & Designations:

Chartered Retirement Planning Counselor (CRPC®)

Securities Licenses:

Series 7, Series 63, Series 65

Insurance and Annuity Licenses:

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

Firm Information

Number of Advisors in Office:

Up to 10 employees

Assets Managed by Firm:

Yes

Compliance

Registered 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:

$50,000

Compensation Methods:

Based on Assets, Flat Fee, Commissions

Additional Details on Charges:

I help clients create a customized personal financial plan. I quote a fixed fee determined in advance. I also help implement and track my clients progress.

Prepared By:

Robert Miani

Most Recent Update:

09/26/2008