Business Description

We specialize in helping you prepare for, transition into and maintain a durable, predictable, retirement income plan, based on your unique goals and vision.

General Information

Gender:

Male

CRD#:

1292617

Firm CRD#:

6413

Name of Broker/Dealer:

LPL Financial Corporation

States Licensed in:

All 50

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Individual Investors, Non-Profit Organizations, Businesses

Foreign Languages Serviced:

German

Education

Academic Background

USC - Financial Planning Program -1987

Services

Investment Types:

Structured Notes, Bonds, Stocks, Annuities, Insurance, Alternative Investments, Exchange Traded Funds (ETFs)

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER (CFP®), Certified Fund Specialist (CFS)

Securities Licenses:

Series 24, Series 7, Series 26

Insurance and Annuity Licenses:

Disability, Long Term Care, Variable Annuity, Variable Life, Life, Health, Annuity

Financial Organization Memberships:

Financial Planning Association (FPA)

Firm Information

Number of Advisors in Office:

Up to 10 employees

Compliance

Registered Representative:

Yes

Investment Advisor Representative:

Yes

I am an acknowledged fiduciary:

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

Fee % Based on Assets:

1.50%

Additional Details on Charges:

$0 - $1,000,000 = 1.5%
$1,000,001 - $1,500,000 = 1.25%
$1,500,501 - $3,000,000 = 1.00%
$3,000,001 - $10,000,000 = .75%

Client Pays transaction charges ( $15.00 per trade - unlimited amount)

Prepared By:

Thomas Scott