Business Description

This CERTIFIED FINANCIAL PLANNER™ and CPA, a sole proprietor, puts years of large company experience to work for you. I will develop personal and business plans by listening and analyzing your concerns. I will manage your assets and coordinate it with your current and future goals. The plan and asset management will take you through all stages of retirement and transfer of asset to next generation. Various solutions are proposed to you within the framework of income tax impact and other risks in the areas of:

TAX INCLUDING INTERNATIONAL
INVESTMENTS & ASSET MANAGEMENT
EDUCATION FUNDING & EMPLOYMENT BENEFITS
RETIREMENT & ESTATE PLANNING
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General Information

Gender:

Male

CRD#:

4180384

Firm CRD#:

20626

SEC File#:

N/A

Insurance License#:

0085517

Name of Broker/Dealer:

TFS Securities, Inc.

Name of Custodial Firm:

N/A

States Licensed in:

NJ, NY, PA, MD, CA

States Willing to do Business in:

NY, NJ, PA, MD, CA

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

Investment, financial planning, finance, tax,
employee benefits, 401(k), insurance, cost
accounting and other financial areas

I work with the following types of clients:

Businesses, Individual Investors

Foreign Languages Serviced:

Hindi

Education

Academic Background

MBA in finance and taxation

Services

Investment Types:

Mortgages & Real Estate, Insurance, Mutual Funds, Asset management, Annuities

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, Certified Public Accountant (CPA), Certified Management Accountant (CMA®)

Securities Licenses:

Series 66, Series 7

Insurance and Annuity Licenses:

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

Financial Organization Memberships:

Society of Financial Services Professionals

Non-Financial Organization Memberships:

Lions Club

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:

100

Firm's Number of Planning Clients:

Firm's Number of Managed Clients:

Assets Managed by Firm:

$8 million

Advisor's Number of Clients:

100

Advisor's Number of Managed Clients:

Advisor's Number of Planning Clients:

Assets Managed by Advisor:

$8 Million

Compliance

Registered Representative:

Yes

Investment Advisor 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

Fee Structure:

I am a fee-based financial professional

Minimum Portfolio Size for New Managed Accounts:

$15,000

Compensation Methods:

Hourly, Flat Fee, Commissions, Based on Assets

Fee % Based on Assets:

1.5%

Hourly Rate:

$125

Additional Details on Charges:

Based on a project size and investments, fee can be
a flat fee + commission. Each case is treated on its
own basis.

Minimum Fee Charged for Managed Accounts:

1.5%

Minimum Fee Charged for Flat Fee Accounts:

$750

Prepared By:

Jay Mehta