Business Description

Our mission is to help our clients:

Create and Grow Wealth through appropriate investments, adequate life insurance, and minimizing income tax with investments.

Protect and Preserve Wealth through:
- Analysis of Overall Investment Portfolio (asset allocation management and diversification management)
- Analysis of Overall Insurance Plan (Life, Disability, Long-Term Care and Liability)
- Tax Sensitivity Management

Plan the Distribution of Wealth During Life:
- Qualified Retirment Plan/IRA
- Corporate Executive Stock Options
- Business Succession Plan
- Powers of Attorney
- Gifting to children/Descendants
- Charitable Giving

Plan the Distribution of Wealth at Death:
- Titling of Assets
- Executor/Trustee
- Distribtion to Spouse, descendants, and others
- Charitable Inclinations at Death

General Information

Gender:

Male

CRD#:

4095727

Firm CRD#:

6413

Name of Broker/Dealer:

LPL Financial Corporation

States Licensed in:

AR, CO, CA, LA, MO, OH, TN, TX

Years of Experience in Financial Services:

Number of Years with Current Firm:

Education

Academic Background

BS, Business Administration - University of Arkansas
MBA - University of Arkansas

Services

Investment Types:

Alternative Investments, Options & Futures, Mutual Funds, Insurance, Annuities, Stocks, Bonds

Qualifications & Memberships

Securities Licenses:

Series 7, Series 24, Series 65, Series 63

Firm Information

Number of Advisors in Office:

Up to 10 employees

Firm's Number of Clients:

Compliance

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:

Compensation Methods:

Based on Assets, Commissions, Flat Fee, Hourly

Additional Details on Charges:

$1,000,000 Plus - Negotiable
$750,000 - $1,000,000 - 1.00%
$500,000 - $750,000 - 1.25%
$250,000 - $750,000 - 1.5%
$100,000 - 250,000 - 1.75%
$25,000 - $100,000 - 2.0%

Prepared By:

David Seaton