Business Description

Our Mission is to partner with clients to establish and achieve estate and financial goals through objective planning and management of investment assets. Our purpose is to help build manage and preserve your wealth. We put our client's interest first, act with integrity and honesty, and strive for excellence in every facet of our practice. Our success is not measured by performance statistics but rather by our clients' success in achieving their goals.

General Information

Gender:

Male

CRD#:

3006666

Firm CRD#:

133763

Name of Broker/Dealer:

Sagepoint Financial, Inc.

States Licensed in:

AZ, CA, CO, HI, ID, NJ, OR, TX, WA

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Individual Investors, Businesses

Services

Investment Types:

Bonds, Alternative Investments, Stocks, Annuities, Insurance, Mutual Funds, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

Registered Financial Consultant (RFC), Chartered Financial Consultant (ChFC®)

Securities Licenses:

Series 65, Series 7, Series 24, Series 66

Insurance and Annuity Licenses:

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

Firm Information

Number of Advisors in Office:

Up to 10 employees

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

Fee Structure:

I am a fee-based financial professional

Minimum Portfolio Size for New Managed Accounts:

$150,000

Compensation Methods:

Commissions, Based on Assets

Additional Details on Charges:

Advisor compensation is structured based on the level of planning needed and/or services provided.

Prepared By:

Brad Long