| Advisor Profile |
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| Name: |
Stephen Gordon |
| Phone Number: |
(720) 583-7867 |
| Website: |
Visit Website
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Business Description |
Cornerstone Asset Management is an independent financial services firm based in Denver, Colorado. We operate as a branch office of Foothill Securities, Inc.member FINRA/SIPC. We specialize in comprehensive financial planning and dynamic asset allocation strategies. Whatever your needs may be - portfolio management, retirement planning, estate planning, risk management, money management or educational planning -we offer strategies that are consistent with your unique values, goals and financial objectives.
We provide a variety of portfolio management solutions including our Active Tactical Asset Allocation Modeling system. Our Investment Advisory Services are offered through CUE Financial Group, Inc., a SEC Registered Investment Advisor.
Our mission at Cornerstone Asset Management is to provide exceptional service and to help our clients reach their goals for the reasons that are most important to them. |
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General Information |
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| Name of Broker/Dealer: |
Foothill Securities, Inc.
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| Name of Custodial Firm: |
Pershing LLC
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| States Licensed in: |
CO,AZ,NM,TX,WY,KS,MT,OR,CA,NV,PA,ID,UT,WI,LA
Advisory Services offered in CO,NM,OR,PA
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| Years of Experience in Financial Services: |
15
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| Number of Years with Current Firm: |
13
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| I work with the following types of clients: |
Businesses, Individual Investors
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Education |
| Academic Background |
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| BA, Economics - New Mexico |
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Services |
| Investment Types: |
Options, Mutual Funds, Exchange Traded Funds (ETFs), Bonds, Stocks, Annuities
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Qualifications & Memberships |
| Securities Licenses: |
Series 24, Series 7, Series 63, Series 65
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| Insurance and Annuity Licenses: |
Life, Variable Annuity, Annuity, Variable Life, Long Term Care
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| Advisor's Number of Clients: |
150
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| Advisor's Number of Managed Clients: |
80
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| Advisor's Number of Planning Clients: |
25
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| Assets Managed by Advisor: |
$38 Million
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Compliance |
| Registered Investment Advisor: |
Yes
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| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| I am an acknowledged fiduciary: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| Fee Structure: |
I am a fee-based financial professional
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| Minimum Portfolio Size for New Managed Accounts: |
$150,000
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| Compensation Methods: |
Hourly, Based on Assets, Flat Fee, Commissions
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| Fee % Based on Assets: |
1-1.5%
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| Prepared By: |
Stephen Gordon |
Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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No. Member of BBB for over 4 years. Results speak for themselves |
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What are your qualifications? What is your education background? |
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Economics degree from University of New Mexico. Registered Investment Advisor Representative, Series 24 and Series 7 |
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What is your approach to financial planning? |
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All planning servies based on the comprehensive fundamentals of Financial Planning |
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What services do you offer? |
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Planning, Implimentation, Ongoing Asset Management |
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How many clients do you currently manage? |
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Will you be the only person working with me? |
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How are you compensated? How will I pay for your services? |
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Fee or Commission- Client chooses |
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If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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Some client relationships are based on advisor discretion. Client chooses |
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Do you offer any guaranteed results? |
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How much risk should I be willing to take? |
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After a comprehensive exam and interview, we help you determine risk tolerance |
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Have you ever been charged with any breaches? |
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What services do you provide? What are your specialties? |
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Planning,Portfolio Construction,Ongoing Proactive Management. We specialize in our Dynamic Tactical Asset Management strategies. Securities offered through Foothil Securities, Inc. memeber FINRA/SIPC. Advisory Services offered through CUE Financial Group, Inc., a SEC Registered Investment Advisor. |
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What is your experience? How many clients do you currently manage? |
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Over 15 years in business. 150 current clients |
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What financial institution(s) do you represent? |
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CUE Financial Group, Inc. A SEC Registered Investement Advisor. Foothill Securities, Inc.- Broker/Dealer member FINRA/SIPC. |
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How do you charge for your services? |
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Fee or Commission- Client chooses |
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Do you provide a free initial consultation? |
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Why should I choose you as my financial advisor? |
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Experience, Active Tactical Asset Management solutions, Trustworthy Long-Term Relationships with my clients |
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| Q. |
What is your approach to 401 K plan rollovers? |
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Planning first, then implimentation based on individual goals/needs. |
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How long does the process of rolling over a 401K plan usually take? |
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What financial institutions do you represent? |
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We are independent Advisors that clear our business through an independent broker/dealer that has been around since 1962. Foothill Securities Inc., member FINRA/SIPC. Advisory services offered through CUE Financial Group Inc., A SEC Registered Investment Advisor. |
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How many years of experience do you have? |
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How many 401K rollover clients do you currently manage? |
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Why should I roll over my 401K plan to your firm? |
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Over 14 Years experience, a wide variety of Solutions from fixed returns to Active Tactical management |
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Do you provide a free initial consultation? |
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