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Booth Financial Associates

Booth Financial Associates | Financial Advisor in Norwalk ,CT
James Booth

James Booth
RFC, None



"Your Wealth Well Managed"


Address:
200 Connecticut Avenue
Norwalk, CT 06854

Map it | Directions | Website


(203) 302-9153

20 Years of Experience

  • Insurance License# CT - 000953017 New York - BR - 747239
  • Firm CRD# 12984
  • Series 6, 66, 63, 7, 24, 26
  • CRD# 1906145

Offers & Pledges

  • I provide a free initial consultation:

Booth Financial Associates, BFA, is a team of highly experienced financial professionals who bring together a mix of experience and business backgrounds to develop and implement superior financial strategies.

BFA's client base includes individuals, business clients with benefits, succession plans and pension/profit sharing plans. We have a staff with expertise in insurance, estate, and retirement planning.

BFA offers the intimacy of a small advisory firm and utilizes the services of Invest Financial Corp, a leading broker/dealer. We are committed to providing objective advice that is free from the conflicts of interest that many financial services firms face.


  • HighLights
  • FAQs
  • Disclaimer

HIGHLIGHTS

General Information
Firm Start Year: 1989
No.of Employees: 10-19
Insurance License#: CT - 000953017 New York - BR - 747239
Name of Broker/Dealer: INVEST Financial
Name of Custodial Firm: Pershing
States Licensed in: AR, CA, CT, DE, FL, GE, KS, ME, MD, MA, NJ, NY, NC, OH, PA, TX, VT, VA, WA
Number of Years with Current Firm: 4
I work with the following types of clients: Businesses, Individual Investors, Non-Profit Organizations
 
 
Services
Investment Types: Stocks, Mutual Funds, Bonds, Annuities, Insurance, Alternative Investments, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)
 
Qualifications & Memberships
Insurance and Annuity Licenses: Disability, Property, Casualty, Accident, Annuity, Health, Life, HMO, Variable Annuity, Long Term Care, Variable Life
Financial Organization Memberships: National Association of Insurance and Financial Advisors (NAIFA)
 
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: 2500
Firm's Number of Planning Clients: 100
Firm's Number of Managed Clients: 25
Assets Managed by Firm: $125,000,000
Advisor's Number of Clients: 1500
Advisor's Number of Managed Clients: 15
Advisor's Number of Planning Clients: 50
Assets Managed by Advisor: $10,000,000
 
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: $50,000
Compensation Methods: Hourly, Commissions
Fee % Based on Assets: 1%-2.2%
Hourly Rate: $ 200
Additional Details on Charges: CHARGES VARY DEPENDING ON COMPLEXITY OF CLIENTS SITUATION.
Minimum Fee Charged for Managed Accounts: $500
Minimum Fee Charged for Hourly Planning Accounts: $ 500
Minimum Fee Charged for Flat Fee Accounts: $ 500
 

FAQs

Financial Planners

What is your approach to financial planning?
What services do you offer?
How many clients do you currently manage?
Will you be the only person working with me?
If you are going to manage my account, will you obtain my permission every time you buy or sell something?
Have you ever been charged with any breaches?


  • What is your approach to financial planning?
    We are non fee based planners. We provide a basic plan with each new client as our way of understanding their needs and risk tolerance.
  • What services do you offer?
    Planning - both personal and business. Pension services. Business Benefit services and analysis. Portfolio analysis.
  • How many clients do you currently manage?
    50 Advisory accounts and 2000 general brokerage accounts.
  • Will you be the only person working with me?
    We use a team approach to managing all clients with participation from experts in every financial field.
  • If you are going to manage my account, will you obtain my permission every time you buy or sell something?
    We have discretionary and non discretionary managed accounts. If the client chooses a discretionary account, we make investments for them. In all cases, when possible, we will seek out the clients approval.
  • Have you ever been charged with any breaches?
    No

DISCLAIMER

REGISTERED REPRESENTATIVE AND PRINCIPAL OF INVEST FINANCIAL, MEMBER FINRA, SIPC. INVEST offers securities and advisory services. INVEST is not affiliated with Booth Financial Associates. INVEST and Booth Financial do not provide tax or legal advice. www.SIPC.org

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Schedule a Free Initial Consultation

  • No obligation to hire
  • primarily to evaluate mutual fit.








Office Hours

Mon. 9:00 AM - 5:00 PM
Tue. 9:00 AM - 5:00 PM
Wed. 9:00 AM - 5:00 PM
Thu. 9:00 AM - 5:00 PM
Fri. 9:00 AM - 5:00 PM

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Compensation Arrangements

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