Business Description

We are certified financial planners who specialize in portfolio management. We manage money on an individual basis. After some financial planning anaysis geared to retirement planning we create a written individualized Investment Policy Statement for each client. That statement contains paramaters relative to return & risk that determine the management of the account. Clients receive statements, have internet access & receive performance reporting on their account.

General Information

Gender:

Male

CRD#:

804909

Firm CRD#:

6694

Name of Broker/Dealer:

Raymond James Financial Services, Inc.

States Licensed in:

PA, FL, MD, NY, NJ

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Individual Investors

Education

Academic Background

BS, Economics - University of Pennsylvania

Services

Investment Types:

Annuities, Stocks, Mutual Funds, Alternative Investments, Mortgages & Real Estate, Bonds

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant

Securities Licenses:

Series 53, Series 63, Series 65, Series 52, Series 6, Series 7

Insurance and Annuity Licenses:

Health, Life

Firm Information

Number of Advisors in Office:

Up to 10 employees

Compliance

Registered 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:

1.5%

Prepared By:

Mike Chwastyk

Most Recent Update:

06/17/2008