Business Description

Success Financial Advisors, LLC is a comprehensive Financial Planning firm. Our philosophy is to provide our clients with personal and professional service in order to help meet their needs. We offer Investment Advisory Services, Estate Planning, Insurance Planning, Investment Planning, Tax Preparation and Planning, and a full range of Employee Benefit Plans.

General Information

Gender:

Male

CRD#:

2323211

Name of Broker/Dealer:

SagePoint Financial

States Licensed in:

AZ, CA, NV, TX, UT, OR, WI, VA, NM

States Willing to do Business in:

AZ, CA, NV

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Individual Investors, Non-Profit Organizations

Services

Investment Types:

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

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, Enrolled Agent (EA)

Securities Licenses:

Series 65, Series 7, Series 24, Series 63

Insurance and Annuity Licenses:

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

Financial Organization Memberships:

National Association of Enrolled Agents, 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:

1000

Firm's Number of Planning Clients:

250

Firm's Number of Managed Clients:

Assets Managed by Firm:

$100,000,000

Advisor's Number of Clients:

250

Compliance

Registered Investment Advisor:

Yes

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

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$250,000

Compensation Methods:

Based on Assets, Hourly, Flat Fee, Commissions

Hourly Rate:

$175

Prepared By:

Scot Fairchild, CFP®, EA