Business Description

We specialize in helping people get through life's major transitions. This includes retirement, job change, divorce, and loss of a loved one. In each case, we use sophisticated analysis to help ensure you are meeting your goals. Next, we evaluate your portfolio relative to the outcome. The end result is a portfolio to help meet your needs and a quality tracking system. The initial analysis is complimentary.

The follow-up is a dynamic process. Once a system is put into place we continuously refine your goals and adjust your portfolio. The idea is to help ensure that your plan remains current.

General Information

Gender:

Male

CRD#:

2235147

Firm CRD#:

19616W

Name of Broker/Dealer:

Wells Fargo Advisors, LLC

States Licensed in:

AK, AZ, CA, CO, FL, GA, IL, IN, MI, MN, NM, NC, ND, OH, SD, TX, UT, VA, WA, WY

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

Degree in Business and Finance - University of Minnesota (1990)

Services

Investment Types:

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

Qualifications & Memberships

Certifications, Accreditations & Designations:

Certified Divorce Financial Analyst(CDFA), Board Certified in Estate Planning (BCE)

Securities Licenses:

Series 65, Series 7, Series 63

Insurance and Annuity Licenses:

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

Financial Organization Memberships:

Paladin Registry

Firm Information

Number of Advisors in Office:

Up to 10 employees

Assets Managed by Firm:

Yes

Compliance

Registered Investment Advisor:

Yes

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

Prepared By:

James Rudin