Business Description

I serve my clients by listening to how they feel about their circumstances and equipping them with the ability to view issues from different perspectives so that they may weigh those fairly in helping them make good decisions for themselves.

General Information

Gender:

Male

CRD#:

1579248

Insurance License#:

36104

Name of Broker/Dealer:

WRP Investments, Inc.

Name of Custodial Firm:

National Financial Services

States Licensed in:

OH, KY, IN, TX, MD, FL, CO, TN, CA

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

Cashier and Asst. Operations Manager E.F. Hutton and Shearson Lehman Bros. 1986-1991. Investment Advisor PaineWebber Inc. 1991-1997. Independent Advisor WRP Investments, Inc. 1997-Present

I work with the following types of clients:

Businesses, Non-Profit Organizations, Individual Investors

Education

Academic Background

Graduated McNicholas High School 1977. Attended University of Cincinnati (1977-1983). Studied history, literature & philosophy

Services

Investment Types:

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

Qualifications & Memberships

Certifications, Accreditations & Designations:

CRC (Certified Retirement Counselor)

Securities Licenses:

Series 7, Series 8, Series 63, Series 65

Insurance and Annuity Licenses:

Health, Annuity, Variable Annuity, Disability, Variable Life, Long Term Care, Life

Firm Information

Number of Advisors in Office:

Up to 10 employees

Compliance

Registered Representative:

Yes

Investment Advisor Representative:

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:

$50,000

Compensation Methods:

Based on Assets, Commissions

Fee % Based on Assets:

Prepared By:

Tom Neess