Business Description

As a financial planner, 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.

I work with my clients to design a personal financial plan based on their life goals. This strategy focuses on helping them become more confident about managing their financial objectives. It is designed to provide solutions to both your everyday and long-term financial questions, and is personalized to meet the needs of high net worth individuals. We continually monitor progress toward your financial goals and update your plan based on changes in market conditions and your individual situation.

General Information

Gender:

Male

CRD#:

2911372

States Licensed in:

MA, RI, CT, ME, NH, NY, FL, NJ, KY

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Individual Investors

Education

Academic Background

BS, Finance - Bryant University (1998)

Services

Investment Types:

Insurance, Bonds, Stocks, Annuities, Mutual Funds, Options & Futures, Alternative Investments, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, Accredited Wealth Management Advisor(AWMA), Insurance License (Life & Health; Long Term Care; Specify below), Chartered Retirement Planning Counselor (CRPC®), Chartered Financial Consultant (ChFC®)

Securities Licenses:

Series 63, Series 7, Series 24, Series 65

Insurance and Annuity Licenses:

Disability, Variable Annuity, Long Term Care, Variable Life, Annuity, Health, Life

Financial Organization Memberships:

Financial Planning Association (FPA)

Firm Information

Number of Advisors in Office:

10 - 99 employees

I work with clients as part of a team:

Yes

Compliance

Registered 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:

250000

Compensation Methods:

Based on Assets, Flat Fee

Additional Details on Charges:

The primary structure within my practice is fee-based financial planning where there is either a flat fee for financial planning and/or an asset-based fee for asset management.

Prepared By:

Casey D. Clarke