Business Description

I help my clients achieve their financial and personal goals through a goal-based financial planning approach. I feel that individualized total financial planning is the key to both a successful retirement and a smooth transition from one generation to the next. Using an independent brokerage based model I look for the best investments that will achieve your goals with the least cost and the lowest risk.

Estate Planning is a special concern of mine and I am actively involved with helping clients pass their wealth to the next generation.

General Information

Gender:

Male

CRD#:

4171904

Insurance License#:

68431

Name of Broker/Dealer:

InterSecurities, Inc.

States Licensed in:

NV, CA, IL, NC

States Willing to do Business in:

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

InterSecurities, Inc. 2005 - Present
SunAmerica Securities, 2001 - 2005
American Express Fin Adv 2000-2001
Attorney 1984 - Present

I work with the following types of clients:

Individual Investors, Businesses

Education

Academic Background

Bachelor of Arts - University of Illinois 1981
Juris Doctor - University of Illinois 1984

Services

Investment Types:

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

Qualifications & Memberships

Certifications, Accreditations & Designations:

Juris Doctor (JD)

Securities Licenses:

Series 66, Series 7

Insurance and Annuity Licenses:

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

Firm Information

Number of Advisors in Office:

Up to 10 employees

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:

$100,000

Compensation Methods:

Commissions, Based on Assets

Prepared By:

Thomas Walter