Business Description
In the grand scheme of things, money is significant only to the extent that it impacts your life in a positive way and allows you to enjoy what is important to you. My goal is to help you to have a simpler, better life and to give you more time to enjoy those things in your life that are more important to you. If you are someone who recognizes that hiring a financial advisor is smart delegation, then you should be in touch with me.
General Information Gender:    Male CRD#:    1056641 Firm CRD#:    6413 Name of Broker/Dealer:    LPL Financial Corporation States Licensed in:    CT, FL, MA, NC Years of Experience in Financial Services:    30 Number of Years with Current Firm:    4 I work with the following types of clients:    Businesses, Non-Profit Organizations, Individual Investors
Education Academic Background   BA, Economics - University of Notre Dame (1973)
Services Investment Types:    International Investments, Bonds, Stocks, Annuities, Insurance, Mutual Funds, Alternative Investments, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)
Qualifications & Memberships Certifications, Accreditations & Designations:    Certified in Long-Term Care (CLTC), Chartered Financial Consultant (ChFC), Chartered Life Underwriter (CLU®), Accredited Estate Planner (AEP) Securities Licenses:    Held with LPL Financial:, Series 22, Series 6, Series 7, Series 63 Insurance and Annuity Licenses:    Disability, Variable Annuity, Long Term Care, Variable Life, Annuity, Health, Life Financial Organization Memberships:    Society of Financial Services Professionals
Firm Information Number of Advisors in Office:    10 - 99 employees I work with clients as part of a team:    Yes Advisor's Number of Clients:    100
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:    $500,000 Compensation Methods:    Hourly, Flat Fee, Commissions, Based on Assets Fee % Based on Assets:    By Scale Minimum Fee Charged for Managed Accounts:    1.00%
Prepared By:	Jay Butler
Most Recent Update:	07/24/2008

Frequently Asked Questions

Q.	What are your qualifications? What is your education background?

Q.	What is your approach to financial planning?

Q.	What services do you offer?

Q.	Will you be the only person working with me?

Q.	Why should I choose you as my financial advisor?

Q.	What is your approach to 401 K plan rollovers?

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Q.	What are your qualifications? What is your education background?
29 years of experience. Published in the Boston Business Journal, the Boston Women’s Journal, CPA Review, Metrowest Daily News (Herald Media, Inc.) and written for the Boston Estate Planning Council. BA in Economics from The University of Notre Dame. Accreditations: ChFC, CLU, AEP, CLTC. Member Boston Estate Planning Council and Society of Financial Services Professionals.

Q.	What is your approach to financial planning?
My approach is holistic and comprehensive.

Q.	What services do you offer?
I develop strategies for the expansion, retention and perpetuation of my clients' wealth.

Q.	Will you be the only person working with me?
We have a very competent team that will help take care of your every need. I delegate all tasks where my time is not efficiently used. In doing so, it allows me to focus my efforts on bringing the most value possible to our relationship.

Q.	Why should I choose you as my financial advisor?
Individuals wanting an edge in their financial planning decisions may find value in my broad perspective and depth of knowledge.

Q.	What is your approach to 401 K plan rollovers?
I believe the 401(k) rollover should be part of a holistic financial plan.