Business Description

We help high net worth individuals, professionals, small business owners and women investors in their desire to understand, build and retain their wealth.

General Information

Gender:

Male

CRD#:

1279211

Firm CRD#:

39543

Name of Broker/Dealer:

Cambridge Investment Research, Inc.

Name of Custodial Firm:

Pershing, LLC

States Licensed in:

WA, ID, CA, HI, AK

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Individual Investors

Education

Academic Background

BA, Business - Gonzaga University (1968-1970) Eastern Washington University (1970-1972)

Services

Investment Types:

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

Qualifications & Memberships

Certifications, Accreditations & Designations:

Chartered Financial Consultant (ChFC®), Registered Financial Consultant (RFC), Chartered Life Underwriter (CLU®)

Securities Licenses:

Series 7, Series 63, Series 24

Insurance and Annuity Licenses:

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

Financial Organization Memberships:

Financial Planning Association (FPA), Society of Financial Services Professionals, Wealth Preservation Institute, Paladin Registry

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Advisor's Number of Clients:

Assets Managed by Advisor:

$50,000,000

Compliance

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:

Flat Fee, Hourly, Commissions, Based on Assets

Fee % Based on Assets:

.25 - 1.00

Hourly Rate:

$225.00

Minimum Fee Charged for Hourly Planning Accounts:

$225

Minimum Fee Charged for Flat Fee Accounts:

$1,500

Prepared By:

Perry Smith