| Advisor Profile |
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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. |
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General Information |
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| Name of Broker/Dealer: |
Cambridge Investment Research, Inc.
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| Name of Custodial Firm: |
Pershing, LLC
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| States Licensed in: |
WA, ID, CA, HI, AK
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| Years of Experience in Financial Services: |
31
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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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Education |
| Academic Background |
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| BA, Business - Gonzaga University (1968-1970) Eastern Washington University (1970-1972) |
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Services |
| Investment Types: |
Alternative Investments, Mortgages & Real Estate, Exchange Traded Funds (ETFs), FOREX & Currency, Bonds, Mutual Funds, Insurance, Annuities, Stocks
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Chartered Financial Consultant (ChFC®), Registered Financial Consultant (RFC), Chartered Life Underwriter (CLU®)
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| Securities Licenses: |
Series 7, Series 63, Series 24
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| Insurance and Annuity Licenses: |
Variable Annuity, Variable Life, Disability, Casualty, Accident, Annuity, Health, Life
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| Financial Organization Memberships: |
Financial Planning Association (FPA), Society of Financial Services Professionals, Wealth Preservation Institute, Paladin Registry
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| I work with clients as part of a team: |
Yes
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| Advisor's Number of Clients: |
50
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| Assets Managed by Advisor: |
$50,000,000
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Compliance |
| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| I am an acknowledged fiduciary: |
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 |
| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$100,000
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| Compensation Methods: |
Flat Fee, Hourly, Commissions, Based on Assets
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| Fee % Based on Assets: |
.25 - 1.00
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| Minimum Fee Charged for Hourly Planning Accounts: |
$225
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| Minimum Fee Charged for Flat Fee Accounts: |
$1,500
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| Prepared By: |
Perry Smith |
Frequently Asked Questions |
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