Business Description

To Build and Preserve Wealth by Providing Sound Financial Solutions.

As a Certified Financial Planner™ (CFP®) and Financial Advisor, I am committed to the following principles:

1) To fully understand your dreams, goals and aspirations before making any recommendations.
2) To always fully answer all your questions.
3) To be fair and honest in all my contacts with you and to fully disclose any potential conflicts of interest that could occur in our relationship.
4) To recommend only beneficial strategies and to only recommend investments that fit both your level of comfort and your investment time horizon.
5) To continuously update and hone my professional skills through continuing education, self-study and interaction with other professionals.
6) To provide noticeably superior service.

General Information

Gender:

Male

CRD#:

1085912

SEC File#:

801-63233

Insurance License#:

12469

States Licensed in:

CO,AL,AZ,AK,AR,CA,FL,ID,KA,MA,MO,NB,NC,NM,NY,OH,OR,PA,UT,WA,WI,WY

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Individual Investors, Non-Profit Organizations

Education

Academic Background

B.S. University of Wisconsin-Madison, 1975 with High Honors (Magna Cum Laude). M.S. Colorado State University, 1979. College for Financial Planning, 1987.

Services

Investment Types:

Stocks, Annuities, Insurance, Mutual Funds, Alternative Investments, Exchange Traded Funds (ETFs), Real Estate, Bonds

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant

Securities Licenses:

Series 51, Series 6, Series 7, Series 22, Series 24, Series 63

Insurance and Annuity Licenses:

Health, Annuity, Accident, Variable Annuity, Disability, Variable Life, Life

Firm Information

Number of Advisors in Office:

10 - 99 employees

Assets Managed by Firm:

$150,000,000

Assets Managed by Advisor:

$150,000,000

Compliance

Registered Investment Advisor:

Yes

Registered Representative:

Yes

Investment Advisor Representative:

Yes

I am an acknowledged fiduciary:

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:

$100,000

Compensation Methods:

Hourly, Based on Assets, Flat Fee

Fee % Based on Assets:

Variable

Hourly Rate:

$150

Additional Details on Charges:

Portfolio management is tactical (dynamic) and portfolio risk is adjusted based on current and anticipated market conditions.

Prepared By:

Mark Kornblau

Frequently Asked Questions

Q.	Do you have a customer satisfaction or refund policy?

Q.	What services do you offer?

Q.	Why should I choose you as my financial advisor?

Do you have a customer satisfaction or refund policy?

Yes, for financial planning. "If, in your opinion, value has not been received, then no fee shall be due".

What services do you offer?

Comprehensive financial planning, specific planning issues such as retirement, estate planning and stock option planning, tactical asset management and hourly consultations.

Why should I choose you as my financial advisor?

You will receive the advantages of a smaller boutique firm: a close working relationship with an independent local advisor with 27 years of financial planning and securities industry experience (me) who has no quotas or proprietary products to sell. You will also receive the benefits of a larger firm through my affiliation with the G5 Financial Group (details at www.g5financialgroup.com).