Business Description

Zonka & Associates is an independent financial services and investment management firm. Our philosophy focuses on diligence, customer service and respect for the individual nature and need of each client.

We offer access to comprehensive financial planning and investment advisory services to individuals and corporations, with an emphasis on retirement and estate planning, investment management and corporate retirement plan design and service. To provide maximum flexibility to our clients, services are offered on commission, flat or asset-based fee or hourly consulting arrangement.

We build relationships based on trust, competent professional guidance, continual communication and prompt service. We assist our clients in setting goals, monitoring our progress and keeping them informed of the process and achievement of those goals.

General Information

Gender:

Male

CRD#:

4024273

Firm CRD#:

6413

Insurance License#:

D019408

Name of Broker/Dealer:

LPL Financial

Name of Custodial Firm:

LPL Financial

States Licensed in:

Florida, Illinois, Indiana, Colorado, New York, California

States Willing to do Business in:

FL, IL, IN, CO, NY, CA

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

1999-2007: Financial Consultant, A.G. Edwards & Sons

I work with the following types of clients:

Individual Investors, Businesses, Non-Profit Organizations

Education

Academic Background

CFP Professional Education Program - College for Financial Planning

BS, Aviation Management - Florida Tech (1995)

Professional Pilot Certificate Program - University of Illinois (1993)

Services

Investment Types:

Real Estate, Bonds, Stocks, Annuities, Insurance, Commodities, Mutual Funds, Alternative Investments, Exchange Traded Funds (ETFs)

Qualifications & Memberships

Certifications, Accreditations & Designations:

Chartered Retirement Plans Specialist (CRPS®):, Accredited Asset Management Specialist (AAMS®), CERTIFIED FINANCIAL PLANNER (CFP®)

Securities Licenses:

Series 65, Series 7, Series 24, Series 63

Insurance and Annuity Licenses:

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

Financial Organization Memberships:

Financial Planning Association (FPA)

Non-Financial Organization Memberships:

City Councilman, City of Palm Bay, FL

Secretary, Space Coast Transportation Planning Organization

Director, Brevard Economic Development Commission

Director, Florida Tech Alumni Association

Director, Melbourne Area Pilots Association

Firm Information

Number of Advisors in Office:

Up to 10 employees

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:

Hourly, Based on Assets, Subscriptions, Commissions, Flat Fee

Fee % Based on Assets:

0.35-1.5%

Hourly Rate:

$150

Prepared By:

Milo Zonka

Most Recent Update:

06/03/2008