| Advisor Profile |
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| Name: |
Carole Bojan Miller |
| Phone Number: |
(925) 478-4391 |
| Website: |
Visit Website
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Business Description |
| The intertwining of day-to-day life with your financial future is something you may not have considered. When you're planning your finances, you're actually planning your life and that's exciting. You deserve the attention of a professional you can trust to believe in you as much as you believe in yourself. As your financial planner I work for your best interests at all times. Since clients are not generic their financial plans shouldn't be either. As your advisor I first listen, then create a strategy unique to you,
and make changes as needs, financial situations, life stages and goals change. My role becomes coach and partner so that our relationship is an ongoing association based on mutual trust and respect and you have financial peace of mind. |
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General Information |
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| Insurance License#: |
0621490
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| Name of Broker/Dealer: |
Associated Securities Corporation
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| Name of Custodial Firm: |
Pershing LLC
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| States Licensed in: |
CA, FL, Il, Ne, CO
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| States Willing to do Business in: |
All states
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| Years of Experience in Financial Services: |
26
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| Number of Years with Current Firm: |
10
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| Work Experience: |
For the past 23 years I have specialized in financial and retirement planning along with asset management. I have also had extensive insurance experience at the beginning of my career.
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| I work with the following types of clients: |
Individual Investors, Businesses
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Education |
| Academic Background |
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| Graduate of Moser Business School in Chicago. Credentials for ChFC, CLU from American College, Bryn Mawr, PA |
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Services |
| Investment Types: |
Exchange Traded Funds (ETFs), Alternative Investments, Mutual Funds, Insurance, Annuities, Stocks, Bonds
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Insurance License (Life & Health; Long Term Care; Specify below), Chartered Life Underwriter (CLU®), Chartered Financial Consultant (ChFC®)
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| Securities Licenses: |
Series 6, Series 7
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| Insurance and Annuity Licenses: |
Variable Annuity, Long Term Care, Disability, Life, Health, Variable Life, Annuity
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| Financial Organization Memberships: |
Society of Financial Services Professionals, Financial Planning Association (FPA)
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| Non-Financial Organization Memberships: |
San Francisco East Bay Opera Guild, Soroptimist International
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| Firm's Number of Clients: |
200
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| Firm's Number of Planning Clients: |
75
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| Firm's Number of Managed Clients: |
70
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| Assets Managed by Firm: |
$20000000
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| Advisor's Number of Clients: |
200
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| Advisor's Number of Managed Clients: |
70
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| Advisor's Number of Planning Clients: |
75
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| Assets Managed by Advisor: |
$20000000
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Compliance |
| Registered Investment Advisor: |
Yes
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| 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-only financial professional: |
Yes
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| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$150000
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| Compensation Methods: |
Hourly, Flat Fee, Based on Assets
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| Fee % Based on Assets: |
Varies
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| Additional Details on Charges: |
$100,000 - $250,000........1.25% $251,000 - $500,000........1.00% $501,000 - $800,000,,,,,,, .90% $801,000 - $1 Million........ 85% Over One Million Negotiated Fees
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| Minimum Fee Charged for Managed Accounts: |
1%
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| Minimum Fee Charged for Hourly Planning Accounts: |
$150
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| Minimum Fee Charged for Flat Fee Accounts: |
$2000
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| Prepared By: |
Carole Bojan Miller |
Frequently Asked Questions |
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