Business Description

My role is to help clients achieve their goals and make those changes in their financial lives that will result in greater financial security, piece of mind and personal freedom.

My philosophy is to take an advice and relationship driven approach with clients to provide independent, ethical and trustworthy advice.

You engage financial professionals for their knowledge and expertise so you can achieve your financial goals. We have the education, certifications, credentials and experience you look for in an advisor.

Financial Planning Associates, Inc. is an established, diversified financial services company providing fee-based comprehensive financial planning, which includes, but is not limited to:

investment planning
income tax planning
retirement planning
risk management
college funding
cash flow planning
estate planning

General Information

Gender:

Male

CRD#:

5110448

Firm CRD#:

112357

SEC File#:

801-66586

Name of Broker/Dealer:

Alternative Wealth Strategies, Inc.

States Licensed in:

NY, NJ, CT

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Individual Investors, Businesses

Education

Academic Background

Bachelor of Arts degree - Fordham University (1996)

Services

Investment Types:

Alternative Investments, Mutual Funds, Exchange Traded Funds (ETFs), Stocks, Bonds

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant

Securities Licenses:

Series 63, Series 7

Insurance and Annuity Licenses:

Long Term Care, Life, Health, Accident

Financial Organization Memberships:

Financial Planning Association (FPA)

Firm Information

Number of Advisors in Office:

Up to 10 employees

Firm's Number of Clients:

100+

Firm's Number of Planning Clients:

100+

Assets Managed by Firm:

10,000,000+

Compliance

Registered Investment Advisor:

Yes

Investment Advisor Representative:

Yes

I am an acknowledged fiduciary:

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-only financial professional:

Yes

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$100,000

Compensation Methods:

Hourly, Flat Fee, Based on Assets

Fee % Based on Assets:

0.25% - 1%

Hourly Rate:

$200

Additional Details on Charges:

Our Investment Advisory fees are scaled and are as follows:

On the first $499,999 1%
On the next $500,000 - $999,999 0.85%
On the next $1,000,000 - $2,999,999 0.75%
On the next $3,000,000 - $4,999,999 0.50%
On the next $5,000,000 - $9,999,999 0.25%
On the next $10,000,000 and up Negotiated

Prepared By:

Tony Taddeo, CFP®