Business Description

I am fully committed to maintaining the highest standards of integrity and professionalism in the relationship with you. I endeavor to know and understand your financial situation and provide you with only the highest quality information, services, and products to help you reach your goals.

General Information

Gender:

Male

CRD#:

5430209

Firm CRD#:

866

Name of Broker/Dealer:

Waddell & Reed Inc.

States Licensed in:

Series 7 & 66.
Variable and fixed Life and Annuities.
Disability and Long-term Care.

States Willing to do Business in:

TN, MD, MI.

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Investment Clubs, Individual Investors

Services

Investment Types:

Annuities, Stocks, Insurance, Mutual Funds, Bonds

Qualifications & Memberships

Securities Licenses:

Series 7, Series 66

Insurance and Annuity Licenses:

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

Non-Financial Organization Memberships:

CEO for a non-profit organization.

Firm Information

Number of Advisors in Office:

10 - 99 employees

I work with clients as part of a team:

Yes

Compliance

Registered 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:

100k+

Compensation Methods:

Based on Assets, Commissions, Flat Fee

Prepared By:

John Kim