Business Description

I am 71 years old and have been in the financial services business for 27 years. Prior to that, I was a businessman and individual investor. I am a JD, CFP,CLU and CHFC. I have a degree with the National Institute of Certified College Planners and am certified as Long Term Care Specialist.

I am an Adjunct Professor at Baruch College and St Johns University in the area of estate planning and elder care planning. I have also taught the estate planning module for the College of Financial Planning as part of an on-line course. I am an Investment Advisor Representative with a Registered Investment Advisor.

Over the years, I have gathered a great deal of knowlege, and that together with my life experiences is what sets me apart from other advisors. My mission is to guide all of my clients, past and present, with a roadmap for their financial future. I want them to see where they are going and the best ways of getting there.

Securities Offered thru TFS Securities Inc, a full service Broker Dealer loacted
437 Newman Springs Road
Lincroft NJ 07738
(732)758-9300

Investment Advisory Services offered thru Innovative Market Trends, a service of TFS Securities Inc
Member FIN RA/SIPC

General Information

Gender:

Male

CRD#:

1072140

Insurance License#:

NJ 8100909

Name of Broker/Dealer:

TFS SECURITIES INC

Name of Custodial Firm:

PERSHING

States Licensed in:

NY NJ CT FL CO

States Willing to do Business in:

NY NJ CT FL

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

ADJUNCT PROFESSOR-ESTATE AND ELDER CARE PLANNING
BARUCH COLLEGE-ST JOHNS-COLLEGE FOR FINANCIAL PLANNING.

SECURITIES OFFERED THRU TFS SECURITIES INC, A FULL SERVICE BROKER DEALER LOCATED AT 437 NEWMAN SPRINGS ROAD, LINCROFT NJ 07738(732)758-9300

INVESTMENT ADVISORY ASSOCIATE WITH INNOVATIVE
MARKET TRENDS A REGISTERED INVESTMENT ADVISOR, A
SERVICE OF TFS SECURITIES INC

MEMBER FINRA/SIPC

I work with the following types of clients:

Individual Investors, Businesses

Education

Academic Background

BS IN BA-SETON HALL UNIVERSITY-1958
JD-NEW YORK LAW SCHOOL-1962
CLU-CHFC-AMERICAN COLLEGE-1990
CFP-COLLEGE FOR FINANCIAL PLANNING-1992
CCPS-NATIONAL INSITUTE OF CERTIFIED COLLEGE PLANNERS-2001
CCPS-CORPORATION FOR LONG TERM CARE-2000

Services

Investment Types:

Alternative Investments, Exchange Traded Funds (ETFs), EQUITY INDEXED ANNUITIES, Mutual Funds, Bonds, Stocks, Annuities, Insurance

Qualifications & Memberships

Certifications, Accreditations & Designations:

Certified College Planning Specialist(CCPS), Chartered Financial Consultant (ChFC), JD, Chartered Life Underwriter (CLU®), Certified in Long-Term Care (CLTC):

Securities Licenses:

Series 65, Series 24, Series 22, Series 7, Series 6

Insurance and Annuity Licenses:

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

Financial Organization Memberships:

NICCP, Financial Planning Association (FPA)

Firm Information

Number of Advisors in Office:

10 - 99 employees

Advisor's Number of Clients:

Advisor's Number of Managed Clients:

Advisor's Number of Planning Clients:

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

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

50,000

Compensation Methods:

Based on Assets, Flat Fee, Hourly, Commissions

Fee % Based on Assets:

Hourly Rate:

150

Minimum Fee Charged for Managed Accounts:

1..5%

Minimum Fee Charged for Hourly Planning Accounts:

1,000

Prepared By:

Eugene Weisbrod

Most Recent Update:

07/31/2008