| Advisor Profile |
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Business Description |
My mission is to create financial security and peace of mind for individuals and their families. Investors benefit from my comprehensive approach to wealth management because it helps address their current financial needs and achieve their long-term goals. I build strong, lasting client relationships based on servicing accounts in changing social and economic conditions. I also work closely with my client’s tax and legal advisors to coordinate the most effective and efficient methods for turning goals into reality. Lastly, I conduct my business in an atmosphere that embraces mutual respect, professionalism, and a commitment to exceptional service.
I live in Hampstead, New Hampshire with my wife, Eileen, and our two children, Leah and Michael. I am active in the community as a member of the Hampstead Lion’s Club, The Greater Salem Rotary Club, and The Greater Salem Chamber of Commerce. Outside of my financial consulting practice, I enjoy spending time with my family, skiing, scuba diving, coaching youth sports and participating in other outdoor activities. |
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General Information |
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| Name of Broker/Dealer: |
RBC Capital Markets Corporation
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| States Licensed in: |
FL, MA, ME, NH, NY
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| States Willing to do Business in: |
FL, MA, ME, NH, NY
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| Years of Experience in Financial Services: |
11
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| Number of Years with Current Firm: |
5
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| Work Experience: |
I?ve worked in the financial services industry since 1997. Prior to joining RBC Wealth Management, I worked at Putnam Investments. I left Putnam to earn a Master of Business Administration with a concentration in investment management from Boston University where I was awarded membership in the Beta Gamma Sigma honors society. After graduation, I worked with a firm that provided management consulting to the mutual fund and insurance industries.
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| I work with the following types of clients: |
Businesses, Non-Profit Organizations, Individual Investors
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Education |
| Academic Background |
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Bachelor of Science - Merrimack College
Master of Business Administration - Boston University |
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Services |
| Investment Types: |
Stocks, Alternative Investments, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Bonds, Options & Futures, Mutual Funds, Insurance, Annuities, Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Securities Licenses: |
Life & Health, Series 66, Series 7
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| Insurance and Annuity Licenses: |
Variable Life, Variable Annuity, Disability, Long Term Care, Life, Annuity
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| Non-Financial Organization Memberships: |
Hampstead Lions Club, Greater Salem Rotary Club, Greater Salem Chamber of Commerce.
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Firm Information |
| Number of Advisors in Office: |
Over 1000 employees
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| I work with clients as part of a team: |
Yes
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| Firm's Number of Clients: |
41,000
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| Assets Managed by Firm: |
$2791400000
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Compliance |
| Registered Investment Advisor: |
Yes
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| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| Fee Structure: |
I am a fee-based financial professional
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| Minimum Portfolio Size for New Managed Accounts: |
$100,000
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| Compensation Methods: |
Based on Assets
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| Minimum Fee Charged for Managed Accounts: |
$250
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| Prepared By: |
David Bournival |
Frequently Asked Questions |
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| Q. |
What are your qualifications? What is your education background? |
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I have worked in the financial services industry since 1997. Starting at Putnam Investments. I left Putnam to earn a Master of Business Administration with a concentration in investment management from Boston University where I was awarded membership in the Beta Gamma Sigma honors society. I completed my financial planning coursework at the Boston Institute of Finance. |
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What is your approach to financial planning? |
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Our Wealth Management approach integrates your objectives into a personalized plan that can be updated as life changes occur. We combine our sophisticated investment planning tools with our professional resources to help match your objectives with customized solutions. |
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What services do you offer? |
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With RBC Wealth Management, you have access to a complete range of products and services that can help you meet your specific financial goals — exactly what you'd expect from a leading financial services company.
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| Q. |
Will you be the only person working with me? |
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How are you compensated? How will I pay for your services? |
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Primarily fee based based on asset size. |
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| Q. |
If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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Have you ever been charged with any breaches? |
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What services do you provide? What are your specialties? |
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With RBC Wealth Management, you have access to a complete range of products and services that can help you meet your specific financial goals — exactly what you'd expect from a leading financial services company.
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| Q. |
What is your experience? How many clients do you currently manage? |
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I have worked in the financial services industry since 1997. Starting at Putnam Investments. I left Putnam to earn a Master of Business Administration with a concentration in investment management from Boston University where I was awarded membership in the Beta Gamma Sigma honors society. I completed my financial planning coursework at the Boston Institute of Finance. |
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What financial institution(s) do you represent? |
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RBC Wealth Management, a division of RBC Capital Markets Corporation |
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How do you charge for your services? |
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Primarily fee based based on asset size. |
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Do you provide a free initial consultation? |
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Yes, the initial and follow-up are at no charge to qualified families and organizations. |
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| Q. |
Why should I choose you as my financial advisor? |
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My first priority is to help you achieve your financial objectives. Our disciplined approach is designed to identify strategies to accumulate, protect, convert to a cash flow and transfer your wealth based on your financial goals. |
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What are your qualifications? |
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I have worked in the financial services industry since 1997. Starting at Putnam Investments. I left Putnam to earn a Master of Business Administration with a concentration in investment management from Boston University where I was awarded membership in the Beta Gamma Sigma honors society. I completed my financial planning coursework at the Boston Institute of Finance. |
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| Q. |
How long does the process of rolling over a 401K plan usually take? |
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About two weeks on average. |
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What financial institutions do you represent? |
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RBC Wealth Management, a division of RBC Capital Markets Corporation |
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| Q. |
How many years of experience do you have? |
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I have worked in the financial services industry since 1997. |
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What are your fees for this service? |
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Primarily fee based based on asset size. |
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| Q. |
Why should I roll over my 401K plan to your firm? |
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My first priority is to help you achieve your financial objectives. Our disciplined approach is designed to identify strategies to accumulate, protect, convert to a cash flow and transfer your wealth based on your financial goals. |
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Do you provide a free initial consultation? |
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Yes, the initial and follow-up are at no charge to qualified families and organizations. |
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