| Advisor Profile |
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Business Description |
| The Bank of North Carolina Investment Services is a full service brokerage firm offerring a full line of investment products and services. |
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General Information |
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| Name of Broker/Dealer: |
Financial Network
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| States Licensed in: |
NC, GA.
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| Years of Experience in Financial Services: |
16
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| Number of Years with Current Firm: |
5
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| Work Experience: |
16 years in Financial Services
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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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| Cornell university |
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Services |
| Investment Types: |
Exchange Traded Funds (ETFs), Variable Insurance Products, Alternative Investments, Bonds, Stocks, Annuities, Insurance, Mutual Funds
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Certified College Planning Specialist(CCPS), Registered Investment Advisor (RIA) (State or SEC) or RIA representative
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| Securities Licenses: |
Series 7, Series 63, Series 6, Life & Health, Series 65
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| Insurance and Annuity Licenses: |
Annuity, Variable Annuity, Variable Life
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| Financial Organization Memberships: |
Financial Planning Association (FPA)
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| Firm's Number of Clients: |
50000
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| Firm's Number of Planning Clients: |
30000
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| Firm's Number of Managed Clients: |
2000
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| Assets Managed by Firm: |
3 billion
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| Advisor's Number of Clients: |
240
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| Advisor's Number of Managed Clients: |
29
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| Advisor's Number of Planning Clients: |
57
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| Assets Managed by Advisor: |
over 100 millio
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Compliance |
| Registered Investment Advisor: |
Yes
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| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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Compensation & Fees |
| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
100,000
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| Compensation Methods: |
Based on Assets, Hourly, Flat Fee, Commissions
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| Minimum Fee Charged for Managed Accounts: |
1%
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| Prepared By: |
Ralph Huey |
| Most Recent Update: |
06/19/2008 |
Frequently Asked Questions |
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| Q. |
What are your qualifications? What is your education background? |
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I have a series 7 and series 65 license . I am a regerstered investment advisor that attended Cornell University. |
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What is your approach to financial planning? |
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I use an A to B approach to planning , everyone is started at A and wants to get to B. Whatever your B is , retirement , new home,etc. |
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What services do you offer? |
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We are a full service firm . |
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How many clients do you currently manage? |
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Will you be the only person working with me? |
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Myself and my adminstative assistant |
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How are you compensated? How will I pay for your services? |
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If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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Do you offer any guaranteed results? |
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How much risk should I be willing to take? |
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Dependind on your risk tolerance and your time horizon. |
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Have you ever been charged with any breaches? |
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What services do you provide? What are your specialties? |
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Retirement Planning and College Planning |
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What is your experience? How many clients do you currently manage? |
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16 years and over 100 clients |
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What financial institution(s) do you represent? |
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Financial Network Investment Corporation |
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How do you charge for your services? |
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Do you provide a free initial consultation? |
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Why should I choose you as my financial advisor? |
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With my experience in a variety of markets for the past 16 years , I have navigated my clients through the good times and the not so good times. |
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What are your qualifications? |
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What is your approach to Education Planning? |
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Providing the highest quality education for the child with the lowest cost to the parents. |
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How long does the process of setting up an Education Plan usually take? |
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What financial institutions do you represent? |
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How many years of experience do you have? |
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What are your fees for this service? |
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hourly or Flat Fee for full service educational plan |
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How many Education Planning clients do you currently manage? |
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Why should I work with you on setting up an Education Plan? |
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I have had a great experience with helping families understanding the true cost of schools . |
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Do you provide a free initial consultation? |
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What are your qualifications? |
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Registered Investment Advisor |
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What is your approach to 401 K plan rollovers? |
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What ever the clients needs to reach there goals and dreams. |
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How long does the process of rolling over a 401K plan usually take? |
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What financial institutions do you represent? |
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How many years of experience do you have? |
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What are your fees for this service? |
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How many 401K rollover clients do you currently manage? |
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Why should I roll over my 401K plan to your firm? |
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Experience and proven results |
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Do you provide a free initial consultation? |
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