Business Description

In my practice, I strive to provide solutions for my client's complex financial needs. I service my clients by managing their liquid and illiquid assets, arranging asset-based personal or business credit, and protecting against unnecessary income tax, capital gain tax, and estate tax. I also advise small and mid-market businesses regarding their cash management and fixed income strategies.

General Information

Gender:

Male

CRD#:

4376876

Firm CRD#:

4161

Name of Broker/Dealer:

Morgan Keegan & Company, Inc.

States Licensed in:

MS, TN, AL, LA, TX, GA, AR

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

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

Education

Academic Background

Master of Business Administration - University of Mississippi

Bachelor of Accountancy - University of Mississippi

Services

Investment Types:

Bonds, Alternative Investments, Options & Futures, Mutual Funds, Annuities, Stocks

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, Certified Investment Management Analyst (CIMA®), Chartered Retirement Plans Specialist (CRPS®)

Securities Licenses:

Series 65, Series 7, Series 31, Series 63

Insurance and Annuity Licenses:

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

Financial Organization Memberships:

Financial Planning Association (FPA)

Firm Information

Number of Advisors in Office:

10 - 99 employees

I work with clients as part of a team:

Yes

Firm's Number of Clients:

10,000+

Advisor's Number of Clients:

250+

Assets Managed by Advisor:

$100,000,000+

Compliance

Registered Investment Advisor:

Yes

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

Prepared By:

Stephen Griner, CFP®