Business Description

Retirement Planning Associates is a advisory company which specializes in individual and corporate retirement needs. We are predominantly a Los Angeles based company with a clientele that spans from San Diego County to Ventura County.

Our services include:

Retirement Planning
Business Pension Service
Investments
Education Funding
Income Protection
Life Insurance
Estate Planning

The Mission of Retirement Planning Associates is to help people plan for their financial future and financial independence, based on their highest priority. As advisors, we promise to put your needs first as we help to educate and guide you in financial decisions that make sense for your investment objectives.

Retirement Planning Associates is led by, James Ellis, a registered representative of, and securities offered through, JKR & Co., Member FINRA, SIPC.

General Information

Gender:

Male

CRD#:

2395774

Firm CRD#:

8040

Insurance License#:

0B03259

Name of Broker/Dealer:

J K R & Company, Inc.

Name of Custodial Firm:

Pershing LLC

States Licensed in:

CA, WA, NV, AZ, NY, NM, ID, OR

States Willing to do Business in:

CA, WA, NV, AZ, NY, NM, ID, OR

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

Head of Financial Planning from 1993 at Lincoln National from 1993 to 1999

I work with the following types of clients:

Individual Investors, Non-Profit Organizations, Investment Clubs, Businesses

Foreign Languages Serviced:

English and Spanish

Services

Investment Types:

Municipal Bonds, Mutual Funds, Bonds, Stocks, Annuities, Exchange Traded Funds (ETFs), Alternative Investments, Options & Futures, Socially Responsible Investments (SRI)

Qualifications & Memberships

Securities Licenses:

Series 7, Series 65, Series 63, Series 24, Series 4

Insurance and Annuity Licenses:

Health, Variable Life, Variable Annuity, Annuity, Life

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Compliance

Registered Investment Advisor:

Yes

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:

$100,0000

Compensation Methods:

Based on Assets, Hourly, Flat Fee, Commissions, Subscriptions

Fee % Based on Assets:

Prepared By:

James Ellis