Business Description

I strive to build strong client-focused relationships with all my clients. This means I first seek to understand them, their goals and their dreams. My strategies are then tailored to their needs and so that we can be as successful as possible

General Information

Gender:

Male

CRD#:

1278017

Firm CRD#:

6694

Name of Broker/Dealer:

Raymond James Financial Services, Inc.

States Licensed in:

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, Finance - Miami University (1983)

Services

Investment Types:

Alternative Investments, Mutual Funds, Annuities, Stocks, Bonds

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, Chartered Financial Consultant (ChFC®)

Securities Licenses:

Series 10, Series 7, Series 9

Insurance and Annuity Licenses:

Annuity

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:

$100,000

Compensation Methods:

Based on Assets, Commissions, Flat Fee, Hourly

Prepared By:

Mark Aldridge