Business Description

As an Principal financial advisor, I believe success should be measured not just by your financial well-being, but by how confident you feel about your future. My mission is to help you reach your financial goals through a personal relationship based on personalized, knowledgeable advice. This focus is designed to help you reach your goals, giving you greater peace of mind.

General Information

Gender:

Male

CRD#:

32354

Name of Custodial Firm:

PRINCIPAL FINANCIAL

States Licensed in:

ALL

States Willing to do Business in:

ALL

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

Education

Academic Background

AA, Business Administration

Services

Investment Types:

ALL

Qualifications & Memberships

Certifications, Accreditations & Designations:

Insurance License (Life & Health; Long Term Care;, Chartered Retirement Planning Counselor (CRPC®)

Securities Licenses:

Series 7, Series 63

Insurance and Annuity Licenses:

Annuity, Life, Health

Firm Information

Number of Advisors in Office:

Over 1000 employees

Firm's Number of Clients:

23409

Assets Managed by Firm:

Yes

Advisor's Number of Planning Clients:

112

Compliance

Registered Investment Advisor:

Yes

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:

25000

Compensation Methods:

Hourly, Flat Fee, Based on Assets

Fee % Based on Assets:

Minimum Fee Charged for Managed Accounts:

.75

Prepared By:

Frank Goyette