| Advisor Profile |
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Business Description |
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General Information |
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| Name of Broker/Dealer: |
The Leaders Group, Inc.
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| States Licensed in: |
FL, IL, MI, NH, NC, PA, WV
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| States Willing to do Business in: |
PA, OH, WV
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| Years of Experience in Financial Services: |
10
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| Number of Years with Current Firm: |
8
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| Work Experience: |
Practicing Financial Consultant for ten years
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| I work with the following types of clients: |
Individual Investors, Businesses, Non-Profit Organizations
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Education |
| Academic Background |
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BA Business - Washington & Jefferson College
Juris Doctor - University of Pittsburgh |
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Services |
| Investment Types: |
Exchange Traded Funds (ETFs), Bonds, Stocks, Annuities, Insurance, Mutual Funds, Alternative Investments
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
JD
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| Securities Licenses: |
Series 65, Series 6, Series 63
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| Insurance and Annuity Licenses: |
Health, Annuity, Life, Variable Life, Variable Annuity
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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: |
150
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| Firm's Number of Planning Clients: |
100
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| Assets Managed by Firm: |
$220,000,000
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| Advisor's Number of Clients: |
45
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| Advisor's Number of Managed Clients: |
45
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| Advisor's Number of Planning Clients: |
45
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| Assets Managed by Advisor: |
$100,000,000
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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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| 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 |
| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$250,000
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| Compensation Methods: |
Hourly, Flat Fee, Based on Assets, Commissions
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| Flat Fee Rate: |
Negotiable
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| Minimum Fee Charged for Managed Accounts: |
Negotiable
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| Minimum Fee Charged for Hourly Planning Accounts: |
$400/hr.
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| Minimum Fee Charged for Flat Fee Accounts: |
Negotiable
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| Prepared By: |
Daniel Thompson |
| Most Recent Update: |
08/14/2008 |
Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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On fee consultation, we guarantee client satisfaction and will refund consulting fees. |
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What are your qualifications? What is your education background? |
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BA - Business Administration, Licensed Attorney |
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What is your approach to financial planning? |
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Maximizing after-tax, after-expense returns |
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What services do you offer? |
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We offer investment management, insurance planning, tax planning, legal coordination, and business planning. |
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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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No, our firm works as a planning team |
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How are you compensated? How will I pay for your services? |
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Compensation is negotiable |
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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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This will depend on your risk profile |
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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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We provide estate and business planning and investment management. |
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What financial institution(s) do you represent? |
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We are a completely independent multi-disciplinary firm. We do not represent any institution. |
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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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We operate as a personal "CFO" - advising you on investment, insurance, tax and legal coordination. |
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What are your management fees? |
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What kind of plans do you specialize in? |
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We specialize in a wide variety of 401k plans |
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Do you have a minimum requirement for number of employees or total investment value? |
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We have no minimum requirements for the number of employees or investment value. |
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What type of plans do you offer? |
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We offer a wide variety of plans |
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Do you offer any additional services? |
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Yes, we offer executive consultation, fiduciary enhancements, and specialized plan designs. |
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What is your approach to 401 K plan rollovers? |
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I tailor 401k plan rollovers to your needs and goals. |
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How long does the process of rolling over a 401K plan usually take? |
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The entire process of rolling over a 401k usually takes between 2 and 3 weeks. |
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What financial institutions do you represent? |
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We are a completely independent firm and do not represent any institution. |
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How many years of experience do you have? |
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I have 10 years of experience. |
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How many 401K rollover clients do you currently manage? |
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Our firm currently manages 50 401k rollover clients. |
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Do you provide a free initial consultation? |
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