| Advisor Profile |
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| Disclaimer |
| We are dedicated to providing complete disclosure to our clients and upholding the highest ethical standards of conduct and practice in the financial planning industry. |
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Business Description |
| Your Austin Based Professional Fee Based Wealth Management Advisors providing independent world class Financial and Retirement Planning Services. |
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General Information |
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| Insurance License#: |
996786
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| Name of Broker/Dealer: |
Genworth Financial Securities Corporation
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| Name of Custodial Firm: |
Pershing
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| States Licensed in: |
Texas
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| States Willing to do Business in: |
All States my clients reside
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| Years of Experience in Financial Services: |
9
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| Number of Years with Current Firm: |
5
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| Work Experience: |
American Express Financial Advisors
Ameriprise Financial Advisors
Morgan Stanley
GE Financial Advisors
Genworth Financial Advisors
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| I work with the following types of clients: |
Individual Investors, Businesses
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| Foreign Languages Serviced: |
German
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Education |
| Academic Background |
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Business Management
Financial Advisor |
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Services |
| Investment Types: |
Variable Insurance Products, Mortgages & Real Estate, Alternative Investments, Bonds, Mutual Funds, Commodities, Insurance, Annuities, Stocks, Exchange Traded Funds (ETFs), Options & Futures
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Certified Fund Specialist (CFS), Enrolled Agent (EA):, Professional Wealth Advisor
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| Securities Licenses: |
Series 63, Series 65, Series 7, Life & Health
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| Insurance and Annuity Licenses: |
Variable Annuity, Long Term Care, Variable Life, Disability, Annuity, Health, Life
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| Financial Organization Memberships: |
Paladin Registry
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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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| Assets Managed by Firm: |
Yes
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| Advisor's Number of Clients: |
50
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| Advisor's Number of Managed Clients: |
50
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| Advisor's Number of Planning Clients: |
50
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| Assets Managed by Advisor: |
25 Million
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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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| I am an acknowledged fiduciary: |
Yes
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Compensation & Fees |
| I am a fee-only financial professional: |
Yes
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| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
100,000
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| Compensation Methods: |
Hourly, Commissions, Based on Assets, Flat Fee
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| Additional Details on Charges: |
We provide the highest quality financial planning and professional wealth management services for the lowest cost in the industry.
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| Prepared By: |
Thomas Rice |
| Most Recent Update: |
09/19/2008 |
Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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Yes, any fees paid for financial planning will be refunded in full if clients are not satisfied with our services. |
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What are your qualifications? What is your education background? |
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You will find we have the highest qualificiations and educational backgrounds and affliations in the industry. |
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What is your approach to financial planning? |
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Our approach is based on providing the highest level of financial planning services combined with world class Professional Wealth Management Services. |
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What services do you offer? |
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We provide personal and comprehensive financial planning services using state of the art financial planning software and asset allocation models based on the modern portfolio theory. |
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How many clients do you currently manage? |
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I have limited my practice to managing only 100 clients. |
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Will you be the only person working with me? |
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Yes, I work directly with all of my clients. |
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How are you compensated? How will I pay for your services? |
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We provide the level of service and fee structure to suit the needs of our clients. |
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If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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Yes, I require my clients approval before any transactions are performed outside of professionally managed wealth management platforms. |
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Do you offer any guaranteed results? |
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Yes, I personally guarantee the level of professional financial planning services we provide. |
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How much risk should I be willing to take? |
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We will work with you to determine your comfort level and your level of investment risk tolerance. We strive to achieve greater investment returns with the least amount of risk. |
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Have you ever been charged with any breaches? |
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No. We have never had any breaches, unsatisfied clients, or official complaints ever. |
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What services do you provide? What are your specialties? |
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We provide comprehensive financial planning services which includes all levels of the financial planning process. We provide professionally designed financial plans for each client and we offer a variety of financial products and professional wealth management services. |
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What is your experience? How many clients do you currently manage? |
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I currently have over nine years of financial planning experience and I have worked with the leading financial firms in the industry including Morgan Stanley, GE Financial, Amerprise, American Express Financial Advisors, and Genworth Financial. |
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What financial institution(s) do you represent? |
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I represent my clients interests with many financial institutions, wealth managers, insurance companies, and investment firms, across the United States and worldwide. |
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How do you charge for your services? |
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We provide the level of service to fit our clients needs. |
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Do you provide a free initial consultation? |
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Why should I choose you as my financial advisor? |
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If you are seeking quality over quantity and you believe in using the highest level of professional wealth management services available in the industry, you may wish to consider our services. |
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What are your qualifications? |
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We have highest educational standards and qualifications in the financial services industry. |
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What is your approach to 401 K plan rollovers? |
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Our approach is based on our clients individual needs and risk tolerance to provide the highest level of returns on investment while affording our clients with special protection against market downturns. We provide access to professional wealth management services by the worlds leading investment managers. |
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How long does the process of rolling over a 401K plan usually take? |
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401K Rollovers can be completed very quickly depending on the firm transferring the account. |
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What financial institutions do you represent? |
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I represent my clients interests by providing access to the highest quality investment managers, firms, and companies, worldwide. |
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How many years of experience do you have? |
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We have hundreds of years of combined experience in investing and providing financial services to our clients. My personal experience is over nine years. |
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What are your fees for this service? |
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You will find we provide the highest level of professional financial planning and wealth management services for the lowest cost in the industry. |
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How many 401K rollover clients do you currently manage? |
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You will find my financial advisory practice is limited to 100 clients only to ensure the highest possible level of quality service for my clients. |
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Why should I roll over my 401K plan to your firm? |
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If you are seeking the highest level of performance by using professional wealth management by the leading investment managers in the world, you should consider our services. |
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Do you provide a free initial consultation? |
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Yes we provide free initial consultations and professionally designed written fianncial plans for our clients free of charge. |
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