| Advisor Profile |
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| Disclaimer |
| REGISTERED REPRESENTATIVE AND PRINCIPAL OF INVEST FINANCIAL, MEMBER FINRA, SIPC. A registered investment advisor. Securities and advisory services are offered through Invest Financial. 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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Business Description |
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. |
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General Information |
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| Insurance License#: |
CT - 000953017 New York - BR - 747239
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| Name of Broker/Dealer: |
INVEST Financial
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| Name of Custodial Firm: |
Pershing
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| States Licensed in: |
AR, CA, CT, DE, FL, GE, KS, ME, MD, MA, NJ, NY, NC, OH, PA, TX, VT, VA, WA
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| Years of Experience in Financial Services: |
20
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| Number of Years with Current Firm: |
4
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| I work with the following types of clients: |
Businesses, Non-Profit Organizations, Individual Investors
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Education |
| Academic Background |
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| Degree in Management and Finance |
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Services |
| Investment Types: |
Annuities, Mutual Funds, Insurance, Alternative Investments, Stocks, Bonds, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Securities Licenses: |
Series 6, Series 7, Series 24, Series 26, Series 63, Series 65
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| Insurance and Annuity Licenses: |
Variable Annuity, Long Term Care, Variable Life, Disability, Property, Casualty, Accident, Annuity, Health, Life, HMO
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| Financial Organization Memberships: |
National Association of Insurance and Financial Advisors (NAIFA)
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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: |
2500
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| Firm's Number of Planning Clients: |
100
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| Firm's Number of Managed Clients: |
25
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| Assets Managed by Firm: |
$125,000,000
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| Advisor's Number of Clients: |
1500
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| Advisor's Number of Managed Clients: |
15
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| Advisor's Number of Planning Clients: |
50
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| Assets Managed by Advisor: |
$5,000,000
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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 |
| Fee Structure: |
I am a commission only financial professional
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| Minimum Portfolio Size for New Managed Accounts: |
$50,000
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| Compensation Methods: |
Flat Fee, Commissions, Based on Assets
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| Fee % Based on Assets: |
1%-2.2%
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| Additional Details on Charges: |
CHARGES VARY DEPENDING ON COMPLEXITY OF CLIENTS SITUATION.
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| Minimum Fee Charged for Managed Accounts: |
$500
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| Minimum Fee Charged for Hourly Planning Accounts: |
$ 500
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| Minimum Fee Charged for Flat Fee Accounts: |
$ 500
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| Prepared By: |
James Booth |
Frequently Asked Questions |
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| Q. |
What is your approach to financial planning? |
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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. |
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What services do you offer? |
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Planning - both personal and business. Pension services. Business Benefit services and analysis. Portfolio analysis. |
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How many clients do you currently manage? |
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50 Advisory accounts and 2000 general brokerage accounts. |
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| Q. |
Will you be the only person working with me? |
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We use a team approach to managing all clients with participation from experts in every financial field. |
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| Q. |
If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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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. |
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Have you ever been charged with any breaches? |
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