Business Description

As an independent LPL financial advisor, I strive
to become an integral part of creating strategies to help families create, maintain, and pass on wealth predictably.

Our total management approach is customized to meet each individual client’s needs and objectives. We follow the Financial Planning Process adopted by the College of Financial Planning:
• Establish and define the client-planner relationship
• Gather client data including goals
• Analyze & evaluate the client’s financial status
• Develop & present the financial recommendations and/or alternatives
• Implement the recommendations
• Monitor the recommendations

General Information

Gender:

Male

CRD#:

3262671

Name of Broker/Dealer:

LPL Financial

States Licensed in:

IL, CA, OH, MN, MI, AZ, ME

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Individual Investors, Non-Profit Organizations

Education

Academic Background

Indiana University, Bachelors degree, (2000)

Northwestern University, Certificate in Financial Planning, (2005)

Services

Investment Types:

International Investments, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Alternative Investments, Bonds, Mutual Funds, Commodities, Annuities, Stocks, Options & Futures

Qualifications & Memberships

Certifications, Accreditations & Designations:

Insurance License (Life & Health; Long Term Care; Specify below), Accredited Asset Management Specialist (AAMS®)

Securities Licenses:

Series 66, Series 7, Series 24, Series 63

Insurance and Annuity Licenses:

Annuity, Life, Variable Life, Long Term Care, Variable Annuity

Firm Information

Number of Advisors in Office:

Up to 10 employees

Assets Managed by Firm:

$140,000,000

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:

Based on Assets, Commissions, Flat Fee

Fee % Based on Assets:

Prepared By:

Ryan Williamson

Most Recent Update:

06/13/2008