Business Description
The Farris Group, with a commitment to Integrity, Customer Service, and professional partnerships, aims to provide high-quality personal financial planning and investment management services that minimizes our clients financial concerns, preserves long term wealth, and allows our clients the opportunity to achieve their financial goals Your experience will begin with an active dialogue to assess your immediate situation and future objectives. This discussion is the foundation of your financial plan and its importance cannot be stressed enough. Without a thorough understanding of your situation and concerns we cannot address the issues appropriately. Once goals and future objectives are known, we model hundreds of scenarios and provide investment recommendations we believe will produce sufficient investment return over the long term while managing risks as much as possible. Our objective is to help create a strategy whether you are still building your wealth, transitioning towards retirement, or simply living out your retirement dreams. Our investment portfolios are generally allocated to our own investment ideas based on our proprietary research along with analysis on select Wall Street research and top hedge fund manager ideas. In addition, we will allocate a portion of our portfolios to various money managers who have exceptional track records against their peers in both good and bad markets. Depending on each client’s risk tolerance, we structure the portfolio allocating to each investment accordingly.
General Information Gender:    Male CRD#:    4725738 Firm CRD#:    10205 Name of Broker/Dealer:    Securities America Name of Custodial Firm:    National Financial Services - A Fidelity Company States Licensed in:    CO, OK, VA, TX, CA States Willing to do Business in:    All States Years of Experience in Financial Services:    8 Number of Years with Current Firm:    3 I work with the following types of clients:    Hedge Funds, Individual Investors, Businesses
Education Academic Background   Graduate of Rice University
Services Investment Types:    Insurance, Mutual Funds, Options & Futures, Annuities, Alternative Investments, Stocks, Bonds, Exchange Traded Funds (ETFs)
Qualifications & Memberships Certifications, Accreditations & Designations:    CERTIFIED FINANCIAL PLANNER™ Certificant, Insurance License (Life & Health; Long Term Care; Specify below) Securities Licenses:    Series 7, Series 66 Insurance and Annuity Licenses:    Long Term Care, Variable Annuity, Life, Health, Annuity, Variable Life Financial Organization Memberships:    Financial Planning Association (FPA), Paladin Registry
Firm Information Number of Advisors in Office:    Up to 10 employees I work with clients as part of a team:    Yes Firm's Number of Clients:    100 Firm's Number of Planning Clients:    100 Firm's Number of Managed 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 Fee Structure:    I am a fee-based financial professional Minimum Portfolio Size for New Managed Accounts:    $100,000 Compensation Methods:    Based on Assets, Hourly, Flat Fee, Commissions Additional Details on Charges:    Depending on the type of investing and the assets managed, our fees range from .50% to 1.50%. Commission based trading is also available and is calculated on the size and type of the transactions involved.
Prepared By:	Justin Farris, CFP®

Frequently Asked Questions

Q.	Do you have a customer satisfaction or refund policy?

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

Q.	What services do you offer?

Q.	How many clients do you currently manage?

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

Q.	How are you compensated? How will I pay for your services?

Q.	If you are going to manage my account, will you obtain my permission every time you buy or sell something?

Q.	Do you offer any guaranteed results?

Q.	How much risk should I be willing to take?

Q.	Have you ever been charged with any breaches?

Q.	What services do you provide? What are your specialties?

Q.	What financial institution(s) do you represent?

Q.	How do you charge for your services?

Q.	Do you provide a free initial consultation?

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

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

Q.	How long does the process of rolling over a 401K plan usually take?

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Q.	Do you have a customer satisfaction or refund policy?
No, however we do provide an investment policy statement that indicates an agreement of client goals and needs.

Q.	What are your qualifications? What is your education background?
Series 7, 66 and Group 1 insurance licensed. Attended Rice University and obtained a BA in Economics. Received the CFP(R) practitioner designation.

Q.	What services do you offer?
All Services are available, if we do not have access to a particular service we will refer you to someone that can.

Q.	How many clients do you currently manage?
50+

Q.	Will you be the only person working with me?
Clients choice, however we operate in a team orriented environment where each person has a specialty.

Q.	How are you compensated? How will I pay for your services?
We are typically a fee based advisor, but consideration will be taken on a per client basis

Q.	If you are going to manage my account, will you obtain my permission every time you buy or sell something?
We will require permission for trading purposes, unless operating under our discretionary account management portfolio.

Q.	Do you offer any guaranteed results?
No

Q.	How much risk should I be willing to take?
Depends on goals, assets, and time horizon. Each client's situation is different and should be analyzed on an individual basis.

Q.	Have you ever been charged with any breaches?
No

Q.	What services do you provide? What are your specialties?
Financial Planning, Investment Management and Insurance and Estate Planning

Q.	What financial institution(s) do you represent?
We are an independent branch through Raymond James & Associates

Q.	How do you charge for your services?
Fees or commission

Q.	Do you provide a free initial consultation?
Yes

Q.	Why should I choose you as my financial advisor?
We provide a unique opportunity due to our team oriented financial planning business, where each has their own specialty. Also we have a unique discretionary platform where clients can participate in the most complex investments that are typically not available to your traditional investor.

Q.	What is your approach to 401 K plan rollovers?
Former 401(k) participants should consider rollovers because of the opportunities in investment options and cost savings. It allows the individual control over thier assets. Which all of us typically would prefer.

Q.	How long does the process of rolling over a 401K plan usually take?
5-7 business days