| Advisor Profile |
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Business Description |
To create and implement financial strategies that build and maintain wealth. Profit from our team's experience.
"Individual Solutions from Independent Advisors." |
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General Information |
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| Name of Broker/Dealer: |
Raymond James Financial Services, Inc.
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| States Licensed in: |
FL, AR, CT, GA, IL, IA,IN, MA, MI, MO, NJ, NY, NC, OH, OK, PA, SC, TX, VA, WI
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| Years of Experience in Financial Services: |
11
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| Number of Years with Current Firm: |
8
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| I work with the following types of clients: |
Individual Investors, Non-Profit Organizations, Businesses
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Education |
| Academic Background |
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| BS, Finance - University of South Florida |
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Services |
| Investment Types: |
Alternative Investments, Options & Futures, Mutual Funds, Insurance, Annuities, Stocks, Exchange Traded Funds (ETFs), CD's, Bonds
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Qualifications & Memberships |
| Securities Licenses: |
Series 65, Series 7, Series 63
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| Insurance and Annuity Licenses: |
Variable Life, Long Term Care, Variable Annuity, Health, Life, Annuity
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| Financial Organization Memberships: |
Financial Services Institute (FSI)
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| Non-Financial Organization Memberships: |
Founding member, board member and treasurer of Florida Jump$tart - a non-profit coalition promoting financial literacy for students
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| I work with clients as part of a team: |
Yes
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Compliance |
| Registered Representative: |
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 |
| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$250,000
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| Compensation Methods: |
Commissions, Hourly, Flat Fee, Based on Assets
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| Additional Details on Charges: |
Fee varies based on assets under management, securities held and other factors.
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| Prepared By: |
Thomas Kane |
Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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Yes, Our Client "Bill of Rights." |
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| Q. |
What are your qualifications? What is your education background? |
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Bachelor of Science degree in Finance, University of South Florida |
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What is your approach to financial planning? |
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Comprehensive financial planning approach with solutions tailored to individual situation, goals and needs. |
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What services do you offer? |
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Cash management, investments, financial planning, risk management. |
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Will you be the only person working with me? |
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No, clients have the availability of all members of our group. |
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How are you compensated? How will I pay for your services? |
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Fee-based and/or Hourly rate |
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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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Do you offer any guaranteed results? |
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How much risk should I be willing to take? |
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Only as much as you are comfortable with and understand. Risk tolerance varies widely and is a measure of the individual and their personal financial position. |
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Have you ever been charged with any breaches? |
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What carrier(s) do you represent? |
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What services do you provide? What are your specialties? |
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Comprehensive financial planning. Wealth accumulation, retirement planning and distribution. |
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What financial institution(s) do you represent? |
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We own and operate an independent Raymond James Financial Services branch office located in Clearwater, FL. |
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How do you charge for your services? |
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Fee-based and/or hourly rate |
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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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Trustworthy, Honest & Loyal. Along with my personal knowledge and experience, we utilize a true TEAM approach which is both helpful and beneficial to our clients. |
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