| Advisor Profile |
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| Name: |
Mark Forney |
| Phone Number: |
(916) 265-0417 |
| Website: |
Visit Website
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Business Description |
| The financial management process at J. M. Forney & Associates, Inc. begins with an in-depth evaluation of your current financial situation. Once we've established your overall objectives, we'll focus on your specific goals. With changing economic conditions and market swings, we advocate investing sensibly over the long term. We work with you side by side so that you're confident in and comfortable with the informed financial decisions you make that are right for you, even if that means doing nothing. |
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General Information |
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| Insurance License#: |
0825931
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| Name of Broker/Dealer: |
National Planning Corporation
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| Name of Custodial Firm: |
Pershing
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| States Licensed in: |
CA, OR, WA, NY, OK, NV, AR, TX
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| States Willing to do Business in: |
All States
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| Years of Experience in Financial Services: |
16
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| Number of Years with Current Firm: |
10
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| Work Experience: |
comprehensive financial planning which include estate, tax and financial planning with income planning a priority
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| I work with the following types of clients: |
Individual Investors
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Education |
| Academic Background |
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| MBA - California Polytechnic State University |
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Services |
| Investment Types: |
Bonds, Stocks, Annuities, Insurance, Mutual Funds, Alternative Investments, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Securities Licenses: |
Series 7, Series 6, Series 24, Series 26, Series 63, Series 65
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| Insurance and Annuity Licenses: |
Long Term Care, Variable Annuity, Annuity, Health, Life
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| Financial Organization Memberships: |
Financial Planning Association (FPA)
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| I work with clients as part of a team: |
Yes
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| Firm's Number of Clients: |
200
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Compliance |
| 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 |
| Minimum Portfolio Size for New Managed Accounts: |
$100,000
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| Compensation Methods: |
Based on Assets, Commissions, Flat Fee
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| Fee % Based on Assets: |
.75-1.50
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| Prepared By: |
Mark Forney |
Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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What are your qualifications? What is your education background? |
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What is your approach to financial planning? |
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What services do you offer? |
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How many clients do you currently manage? |
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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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fee, hourly or possibly transaction depending on what's appropriate |
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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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Do you offer any guaranteed results? |
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How much risk should I be willing to take? |
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what is your tolerence and time line |
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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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whatever may be needed, distribution planning |
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What is your experience? How many clients do you currently manage? |
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16 years as an independent planner |
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What financial institution(s) do you represent? |
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How do you charge for your services? |
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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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ethics and integrity and experience |
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What are your qualifications? |
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What is your approach to 401 K plan rollovers? |
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do them right the first time |
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How long does the process of rolling over a 401K plan usually take? |
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What financial institutions do you represent? |
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How many years of experience do you have? |
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What are your fees for this service? |
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How many 401K rollover clients do you currently manage? |
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Why should I roll over my 401K plan to your firm? |
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Do you provide a free initial consultation? |
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