Business Description
We do our best to improve our client's future quality of life. This means treating each client individually, since every client has a unique set of circumstances. We pattern our financial advice to match each individual's goals and ultimately serve as our client's financial coach in helping them achieve financial success.
General Information Gender:    Male CRD#:    2447823 Name of Broker/Dealer:    Securities America Name of Custodial Firm:    National Financial Services States Licensed in:    AZ, CA, CT, DC, FL, IL, IO, MD, NH, NJ, NM, NY, NC, OH, OR, PA, SC, TN, TX, VA, WI Years of Experience in Financial Services:    14 Number of Years with Current Firm:    3 I work with the following types of clients:    Businesses, Non-Profit Organizations, Individual Investors
Education Academic Background   Bachelor of Science degree - Rochester Institute of Technology MBA - Case Western Reserve University
Services Investment Types:    Real Estate, Commodities, Bonds, Stocks, Annuities, Insurance, Mutual Funds, Options & Futures, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Alternative Investments, Socially Responsible Investments (SRI)
Qualifications & Memberships Certifications, Accreditations & Designations:    Chartered Financial Consultant (ChFC), Chartered Life Underwriter (CLU®) Securities Licenses:    Series 63, Series 10, Series 9, Series 7 Insurance and Annuity Licenses:    Variable Annuity, Long Term Care, Variable Life, Disability, Annuity, Health, HMO, Life Financial Organization Memberships:    National Association of Insurance and Financial Advisors (NAIFA), Financial Planning Association (FPA)
Firm Information Number of Advisors in Office:    10 - 99 employees I work with clients as part of a team:    Yes Assets Managed by Firm:    $2.5 Billion Assets Managed by Advisor:    $200MM
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:    $0 Compensation Methods:    Based on Assets, Commissions, Flat Fee Fee % Based on Assets:    1% or less Hourly Rate:    $275 Additional Details on Charges:    We generally are retained on an annual basis with our minimum flat fee starting at $4,500. Our goal is to serve as a client's financial coach and help them with what ever financial opportunity comes their way throughout the year. If we manage assets for clients our annual management fee is generally 1% or less depending on the size of assets. Insurance products pay regular commissions.
Prepared By:	Howard Slater
Most Recent Update:	07/09/2008

Frequently Asked Questions

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