Business Description
Our mission is to develop lifelong relationships based on objectivity, integrity and competent financial planning and management. Working closely with you and your other advisers, we can develop a comprehensive plan or focus on a particular area of concern: retirement planning, wealth preservation, estate planning, and portfolio management. We are an independent financial planning firm, and as such can offer a wide range of products and services that we customize to our client?s needs. Thank you for considering us in your search.
General Information Gender:    Male CRD#:    2410589 Name of Broker/Dealer:    Multi Financial Securities Corp., Member FINRA/SIPC States Licensed in:    GA, IL, IN, FL, SC, NY Years of Experience in Financial Services:    14 Number of Years with Current Firm:    7 Work Experience:    I have been in the financial planning business for over 14 years, working with a large, Wall Street firm for the first 5 years, and then forming an independent firm. I am a CERTIFIED FINANCIAL PLANNER (TM), which is a certification earned through the CFP Board of Standards. Additionally, I am a Chartered Retirement Plans Specialist, a designation earned through the College for Financial Planning. Securities and Advisory Services offered through Multi-Financial Securities Corp., Member FINRA/SIPC, an ING Company. Fairway Financial Services, Inc. is not affiliated with Multi-Financial Securities Corp. or ING. I work with the following types of clients:    Businesses, Non-Profit Organizations, Individual Investors
Education Academic Background   BS, Psychology, minor in History - University of Illinois, Champaign CERTIFIED FINANCIAL PLANNER (TM) Chartered Retirement Plans Specialist
Services Investment Types:    International Investments, Exchange Traded Funds (ETFs), Alternative Investments, Mutual Funds, Insurance, Annuities, Stocks, Bonds
Qualifications & Memberships Certifications, Accreditations & Designations:    CERTIFIED FINANCIAL PLANNER™ Certificant, Chartered Retirement Plans Specialist (CRPS®), Insurance License (Life & Health; Long Term Care; Specify below) Securities Licenses:    Series 24, Series 7, Series 63, Series 65 Insurance and Annuity Licenses:    Long Term Care, Variable Life, Disability, Variable Annuity, Life, Annuity Financial Organization Memberships:    Financial Services Institute, Financial Planning Association (FPA) Non-Financial Organization Memberships:    Kiwanis Club of McIntosh Trail, JobSeekers of Peachtree City, Southside Church
Firm Information Number of Advisors in Office:    Up to 10 employees Advisor's Number of Clients:    300 Advisor's Number of Managed Clients:    100 Advisor's Number of Planning Clients:    40 Assets Managed by Advisor:    $50,000,000
Compliance 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 I am a fee-based financial professional:    Yes Minimum Portfolio Size for New Managed Accounts:    $100,000 Compensation Methods:    Hourly, Based on Assets, Commissions, Flat Fee Fee % Based on Assets:    Varies Hourly Rate:    Varies Flat Fee Rate:    Varies Additional Details on Charges:    Fees are negotiable depending on work done and/or assets under management.
Prepared By:	David Rottschafer, CFP

Frequently Asked Questions

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

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Q.	Will you be the only person working with me?
For the planning portion I will be the person working with you. If we uncover a need for which I am not licensed to act, like drafting a will or filing a tax return, I will refer in other professionals on an as needed basis.