Business Description

Providing investment management, insurance and financial services to help individuals and their families protect and grow their wealth.

I also provide estate and financial planning services to help families secure both lifetime care and quality of life for their children or other dependents with special needs.

Today's investment market is complex and constantly changing. As a result, investors are often not aware of the virtually unlimited choices regarding financial strategies, products and services.

As an independent financial advisory group with over $80 million in assets under management, ICM offers unbiased advice and a comprehensive suite of financial and planning services. We help clients understand their choices and make informed decisions when planning their financial future.

Working together, we evaluate current and future needs, develop custom strategies to help reach your goals, then select the vehicles to support those strategies. Finally, we work together to implement your strategies and track progress on an ongoing basis. At ICM, we've been providing clients with world-class independent financial advice and excellent service since 1998.

Accumulation • Investing • Planning • Preserving • Protecting

General Information

Gender:

Male

CRD#:

4811922

Firm CRD#:

15840

Insurance License#:

0E65909

Name of Broker/Dealer:

Walnut Street Securities, Inc.

States Licensed in:

AZ, CA, HI, OK, VA, WA

States Willing to do Business in:

All States

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

Morgan Stanley 2004 - 2006
Integrated Capital Management 2006

I work with the following types of clients:

Businesses, Individual Investors, Families with Children with Special Needs, Non-Profit Organizations

Education

Academic Background

MPIA International Management & Economics - UCSD Graduate School of International Relations Pacific Studies

UCSD Revelle College, BA Literature

Services

Investment Types:

Guaranteed Income for Life, Bonds, Stocks, Annuities, Insurance, Mutual Funds, Alternative Investments, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)

Qualifications & Memberships

Securities Licenses:

Series 66, Series 31, Series 7

Insurance and Annuity Licenses:

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

Non-Financial Organization Memberships:

Rotary International

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:

250

Assets Managed by Firm:

$80,000,000

Advisor's Number of 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:

$250,000

Compensation Methods:

Based on Assets, Commissions

Prepared By:

James Gilmore

Most Recent Update:

11/05/2008