| Advisor Profile |
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Business Description |
My mission is to provide high-quality wealth management services and estate planning strategies customized to your needs. Ultimately, my goal is to become your primary resource for financial advice. To this end, I concentrate my efforts on developing long-term relationships through a commitment to quality client service. You can expect a high level of personal attention and an ongoing dialogue, regular portfolio reviews and performance analyses.
Investment Philosophy
Employing a comprehensive yet focused approach to your financial situation. Mark can provide customized investment strategies that are designed to help you pursue your individual needs and goals. Mark views this as an in-depth approach to your investment and financial life-taking into account your total asset and liability needs.
Commitment to Service
I believe that the key to building enduring relationships with my clients lies in my ability to deliver a high level of service.
Readily available and reliable, I am committed to providing you with quality service and appropriate investment advice. By utilizing a consultative approach, I am able to help you define your financial goals, risk tolerance and time horizon. Utilizing this information, as well as the extensive capabilities of our firm, I am able to offer investment strategies designed specifically to help you pursue your goals and to guide you through various market environments.
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General Information |
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| States Licensed in: |
CO, TX, CA, NC, MI, MN
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| Years of Experience in Financial Services: |
14
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| Number of Years with Current Firm: |
13
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| I work with the following types of clients: |
Individual Investors, Non-Profit Organizations, Businesses
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Education |
| Academic Background |
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| Graduate of the New Jersey Institute of Technology |
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Services |
| Investment Types: |
Stocks, Annuities, Insurance, Mutual Funds, Alternative Investments, Options, Bonds
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CERTIFIED FINANCIAL PLANNER™ Certificant, Accredited Asset Management Specialist (AAMSŪ)
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| Securities Licenses: |
Series 31, Series 7, Series 63, Series 65
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| Insurance and Annuity Licenses: |
Health, Annuity, Variable Life, Long Term Care, Variable Annuity, Life
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| Financial Organization Memberships: |
Financial Planning Association (FPA)
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Firm Information |
| Number of Advisors in Office: |
Over 1000 employees
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Compliance |
| Registered Representative: |
Yes
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| Investment Advisor 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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| Minimum Portfolio Size for New Managed Accounts: |
$100,000
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| Compensation Methods: |
Based on Assets, Commissions
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| Additional Details on Charges: |
The fee will range from 1-2.5%. The fee is based on the type of program that the assets are in. Either mutual funds or individual stocks.
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| Prepared By: |
Mark Ruccolo |
| Most Recent Update: |
07/24/2008 |
Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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No, however, I can provide references upon request if needed |
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What are your qualifications? What is your education background? |
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I've been in the business since 1992. I've also earned my CFP. On an annual basis, I involved in advance classes in Investment, Retirement, Insurance and Estate Planning |
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What is your approach to financial planning? |
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It is important to me to comprehensively address my clients concerns on an ongoing basis to make sure they feel good about their strategies that they have implemented |
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What services do you offer? |
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Investment, Retirement, Estate and Insurance planning |
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How many clients do you currently manage? |
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Will you be the only person working with me? |
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Yes, plus my assistant will be available to assist you |
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How are you compensated? How will I pay for your services? |
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I work with most of my clients on a fee basis |
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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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Do you offer any guaranteed results? |
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How much risk should I be willing to take? |
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With everybodies risk tolernace being different, I will work with you on identifying your true risk tolerance before we implement any type of strategy |
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Have you ever been charged with any breaches? |
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What services do you provide? What are your specialties? |
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Investment Services and Comprehensive Wealth Management
My specialty is working with my clients closely to address their financial concerns |
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| Q. |
What is your experience? How many clients do you currently manage? |
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I've been in the business since 1992, working very closely with my clients managing their life savings. I've earned my CFP, by taking advance courses in Investment, retirement, Estate and Insurance Planning |
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What financial institution(s) do you represent? |
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How do you charge for your services? |
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I charge my clients a small percentage of the assets on an annual basis |
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Do you provide a free initial consultation? |
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Why should I choose you as my financial advisor? |
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I will work closely with you on an on-going basis, to make sure you feel comfortable with the investment and the wealth management process |
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What are your management fees? |
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What kind of plans do you specialize in? |
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Customized to your business needs |
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Do you have a minimum requirement for number of employees or total investment value? |
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What type of plans do you offer? |
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Do you offer any additional services? |
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I will provide a Third Party Administrator if needed |
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What are your qualifications? |
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I currently work with a number of my cleints who has rolled over their plan |
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What is your approach to 401 K plan rollovers? |
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It is important to address the future income needs of my clients before any plan is designed and implemented |
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How long does the process of rolling over a 401K plan usually take? |
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Approximately 2 weeks after the paper work is signed. However, it does depend on the existing employer |
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What financial institutions do you represent? |
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How many years of experience do you have? |
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What are your fees for this service? |
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How many 401K rollover clients do you currently manage? |
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Why should I roll over my 401K plan to your firm? |
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I will work closely with you on an on-going basis, to make sure you feel comfortable with the investment and the wealth management process |
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Do you provide a free initial consultation? |
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