| Advisor Profile |
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Business Description |
| My goal is to leave each client better off than when I met them. I will accomplish this by asking the right questions, listening carefully to the answers, and recommending the best solution. Before implementing any solutions, I will supply my client with all the necessary information required to make an informed decision. I will always conduct myself with only one interest in mind....that is the interest of my client. |
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General Information |
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| Name of Broker/Dealer: |
OneAmerica Securities
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| States Licensed in: |
North Carolina, South Carolina
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| States Willing to do Business in: |
ALL
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| Years of Experience in Financial Services: |
21
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| Number of Years with Current Firm: |
2
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| I work with the following types of clients: |
Businesses, Individual Investors
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Services |
| Investment Types: |
Insurance, Annuities, Mutual Funds, Alternative Investments, Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Insurance License (Life & Health; Long Term Care; Specify below)
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| Securities Licenses: |
Series 6, Series 63
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| Insurance and Annuity Licenses: |
Disability, Variable Life, Long Term Care, Variable Annuity, Medicare Supplement, Accident, Life, HMO, Health, Annuity
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| Assets Managed by Firm: |
Yes
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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 |
| Minimum Portfolio Size for New Managed Accounts: |
$25,000
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| Compensation Methods: |
Commissions
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| Prepared By: |
Peter Lee |
Frequently Asked Questions |
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Will you be the only person working with me? |
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If I take you on as a client, you will get my full attention. |
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How are you compensated? How will I pay for your services? |
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If we identify an issue that I am able to solve, products will be sold, and commissions will be generated. There is another far more valuable way that I am compensated. If I have done my job well, I look to my clients to be a source of referrals. |
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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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I have never executed a transaction for a client without speaking to him/her first. |
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Do you offer any guaranteed results? |
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I guarantee that I will do the best job possible. In the financial services world, no other guarantees are possible. |
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How much risk should I be willing to take? |
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That will vary from client to client. Let's talk about your specific needs and issues to find out. |
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Have you ever been charged with any breaches? |
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What carrier(s) do you represent? |
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I can shop 106 different carriers with a few clicks of a mouse. |
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Are there any pre-existing conditions that you can not cover? |
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That changes from carrier to carrier. |
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How long does it take to complete the application and approval process? |
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Generally you should allow 3-5 weeks. |
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Is there a maximum age that you can insure? |
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What is your experience? How many clients do you currently manage? |
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I have been active in this business since March of 1987. |
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What financial institution(s) do you represent? |
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I represent a very comprehensive list. |
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Do you provide a free initial consultation? |
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