| Advisor Profile |
|
 |
| Request More Information |
|
| Disclaimer |
Registered Representative of and securities offered through Princor Securities, member FINRA, SIPC.
|
|
|
|
|
|
Business Description |
Our firm prides itself on Professionalism, Integrity and Outstanding Service to our clients. We specialize in assisting individuals and businesses achieve their unique financial objectives through investment strategies, insurance and financial analysis.
I use an interactive, friendly and educational approach to develop your financial priorities and goals. You get objective, thoughtful advice and implementation of your needs through a written plan. Our financial services networks provide you with access to one of the broadest ranges of investment and insurance products available. |
|
| |
|
|
General Information |
|
|
|
|
|
|
| Name of Broker/Dealer: |
Princor Financial Services Corporation
|
|
| Name of Custodial Firm: |
Pershing, LLC
|
|
| States Licensed in: |
DE, MD, PA, NJ
|
|
| States Willing to do Business in: |
DE, MD, PA, NJ
|
|
| Years of Experience in Financial Services: |
8
|
|
| Number of Years with Current Firm: |
7
|
|
| I work with the following types of clients: |
Non-Profit Organizations, Individual Investors, Businesses
|
|
| |
|
Education |
| Academic Background |
| |
Bachelor of Science degree - University of Michigan (1977)
MBA, Finance - University of Cincinnati (1989) |
|
| |
|
Services |
| Investment Types: |
Stocks, Annuities, Insurance, Mutual Funds, Exchange Traded Funds (ETFs), International Investments, Bonds
|
|
| |
|
Qualifications & Memberships |
| Securities Licenses: |
Series 6, Series 7, Series 65
|
|
| Insurance and Annuity Licenses: |
Health, Annuity, Long Term Care, Disability, Variable Life, Variable Annuity, Life
|
|
| |
|
Firm Information |
| Number of Advisors in Office: |
10 - 99 employees
|
|
| |
|
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
|
|
| Compensation Methods: |
Flat Fee, Commissions, Based on Assets
|
|
| Fee % Based on Assets: |
1%
|
|
|
|
| Additional Details on Charges: |
We provide both open brokerage (commission-type) and advisor managed (asset-based fee) accounts depending on client preference.
|
|
| |
|
| |
| |
| Prepared By: |
Gregg Millman |
Frequently Asked Questions |
|
|
|
