Business Description

We are a full service independent financial planning and investment management firm providing comprehensive planning and investment advisory as well as insurance consulting.

We specialize in principal preservation strategies for clients. Dr. VanderPal developed a unique (Patent Pending) method for managing money to eliminate stock market downside risk while providing the upside returns that may be locked in during periods of time. Principal of the client may be fully FDIC insured using FDIC insured bank certificates of deposit.

Awards Received:
*Awarded in 2005 & 2006 by the Consumer’s Research Council of America, as, “America’s Best Financial Planners.”
*"Top Financial Planner" by Las Vegas Business Press in 2006 and
*"Five Star Wealth Manager, Best in Client Satisfaction” by Las Vegas Life Magazine in 2007.

Dr. Geoffrey VanderPal DBA, MBA, CFP(R), CLU, CFS, RFC(R), CTP, CAMS and Christian Hansen MBA, RFC(R) offer a combined 26 years experience in investment management and financial planning.

General Information

Gender:

Male

CRD#:

2515008

Firm CRD#:

104255

Insurance License#:

49580

Name of Custodial Firm:

Pershing LLC

States Licensed in:

Registered Investment Advisory and Broker-Dealer licensed throughout US.

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

16 Years of professional finance experience in investment management, insurance and financial planning.

I work with the following types of clients:

Individual Investors, Businesses

Education

Academic Background

B.Sc. in Business Administration/Majors: Marketing,Management & Finance. Columbia College

MBA - Master of Business Administration
Webster University

DBA - Doctorate of Business Administration/Finance
Nova Southeastern University

Services

Investment Types:

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

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, Certified Fund Specialist (CFS), Registered Financial Consultant (RFC), Chartered Life Underwriter (CLU®)

Securities Licenses:

Series 65, Series 63, Series 24, Series 10, Series 9, Series 7

Insurance and Annuity Licenses:

Variable Life, Annuity, Variable Annuity, Long Term Care, Life, Disability, Property, Casualty

Financial Organization Memberships:

Paladin Registry, Financial Planning Association (FPA)

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Firm's Number of Clients:

300

Compliance

Registered Investment Advisor:

Yes

Registered Representative:

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-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

100000

Compensation Methods:

Hourly, Based on Assets, Commissions

Fee % Based on Assets:

0.5 - 2.0

Hourly Rate:

250

Additional Details on Charges:

The percentage fee charge for assets under management is based upon account size and complexity of management.

Prepared By:

Dr Geoffrey VanderPal DBA, CFP®