Business Description

We help Denver families and business owners find out how much money they will need to retire comfortably and stay that way.

We then design a plan to help them achieve thier goal and protect their families along the way.

General Information

Gender:

Male

CRD#:

4592198

Insurance License#:

144555

Name of Broker/Dealer:

Multi-Financial Securities Corporation

Name of Custodial Firm:

Pershing

States Licensed in:

We are licensed to sell Insurance Products in AK,AL,AZ,CA,CO,FL,MN,MO,MS,NJ,NM,NY,OH,PA,VA,WA,WY.
We are registered to sell Securities in AK,AL,AZ,CA,CO,FL,MD,MN,MO,MS,NJ,NM,NV,NY,OH,PA,RI,VA,WA,WY.

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Non-Profit Organizations, Individual Investors

Education

Academic Background

Bacelor of Science
CFP Certification through the American College

Services

Investment Types:

Mutual Funds, Insurance, Annuities, Exchange Traded Funds (ETFs), Alternative Investments

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant

Securities Licenses:

Series 6, Series 63, Series 7, Series 65

Insurance and Annuity Licenses:

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

Financial Organization Memberships:

National Association of Insurance and Financial Advisors (NAIFA), Million Dollar Roundtable

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:

350

Firm's Number of Planning Clients:

300

Firm's Number of Managed Clients:

300

Assets Managed by Firm:

100,000,000

Advisor's Number of Clients:

250

Advisor's Number of Managed Clients:

200

Advisor's Number of Planning Clients:

200

Assets Managed by Advisor:

100000000

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:

100000

Compensation Methods:

Flat Fee, Commissions, Based on Assets

Fee % Based on Assets:

1-1.5%

Hourly Rate:

200

Flat Fee Rate:

650

Additional Details on Charges:

We charge a flat fee of $650 for a financial plan and we charge a percentage from 1-1.5% on assets under our management.

We will not manage assets for clients who do not have a financial plan.

Minimum Fee Charged for Managed Accounts:

Minimum Fee Charged for Hourly Planning Accounts:

200

Minimum Fee Charged for Flat Fee Accounts:

200

Prepared By:

Jeremy Davis, CFP®