| Advisor Profile |
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| Name: |
Rick Willoughby, AAMS |
| Phone Number: |
(866) 694-6621 |
| Website: |
Visit Website
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| Request More Information |
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| Disclaimer |
| Rick Willoughby is a Registered Principal offering securities and advisory services through Independent Financial Group, LLC, a registered broker-dealer and investment advisor. Member FINRA and SIPC. Independent Financial Group, LLC and Symphony Financial Services, LLC are not affiliated. |
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Business Description |
| ****RATED 5 STARS BY THE PALADIN REGISTRY**** I strive to improve my clients' quality of life. Whether you have $1 or $10 Million you can expect advice that only comes from experience. I pattern my financial advice to match each individual's goals. I consider myself a "Big Picture" planner and use a broad spectrum of financial products not just the usual stocks, bonds and mutual funds! Your financial plan can play like a symphony. |
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General Information |
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| Insurance License#: |
85862
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| Name of Broker/Dealer: |
Independent Financial Group LLC
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| Name of Custodial Firm: |
Pershing
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| States Licensed in: |
Arizona, California, Colorado, Florida, Hawaii, Illinois, Indiana, Iowa, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Nebraska, Nevada, New Jersey, New York, Ohio, Oregon, Pennsylvania, Texas, Washington, Wisconsin
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| States Willing to do Business in: |
Arizona, California, Colorado, Florida, Hawaii, Illinois, Indiana, Iowa, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Nebraska, Nevada, New Jersey, New York, Ohio, Oregon, Pennsylvania, Texas, Washington, Wisconsin
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| Years of Experience in Financial Services: |
9
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| Number of Years with Current Firm: |
5
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| I work with the following types of clients: |
Businesses, Individual Investors, Non-Profit Organizations, Investment Clubs
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Education |
| Academic Background |
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| Accredited Asset Management Specialist (AAMS) |
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Services |
| Investment Types: |
Real Estate, Insurance, Bonds, Stocks, Annuities, Mutual Funds, Options & Futures, Alternative Investments, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Accredited Asset Management Specialist (AAMSŪ)
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| Securities Licenses: |
Series 6, Series 65, Series 63, Series 24, Series 22, Series 7, Real Estate
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| Insurance and Annuity Licenses: |
Variable Annuity, Long Term Care, Variable Life, Disability, Property, Casualty, Accident, Annuity, Health, HMO, Life
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| Financial Organization Memberships: |
SIPC, FINRA, TICA
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| Non-Financial Organization Memberships: |
AAR.NAR
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| Firm's Number of Clients: |
NA
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| Firm's Number of Planning Clients: |
NA
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| Firm's Number of Managed Clients: |
NA
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| Assets Managed by Firm: |
NA
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| Advisor's Number of Clients: |
NA
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| Advisor's Number of Managed Clients: |
NA
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| Advisor's Number of Planning Clients: |
NA
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| Assets Managed by Advisor: |
NA
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Compliance |
| 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: |
$50K
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| Compensation Methods: |
Commissions, Based on Assets, Hourly
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| Fee % Based on Assets: |
Varies
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| Additional Details on Charges: |
Every client decides on the best way for compensation based upon their needs.
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| Minimum Fee Charged for Managed Accounts: |
NA
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| Minimum Fee Charged for Hourly Planning Accounts: |
NA
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| Minimum Fee Charged for Flat Fee Accounts: |
NA
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| Prepared By: |
Rick Willoughby, AAMS |
| Most Recent Update: |
07/28/2008 |
Frequently Asked Questions |
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What are your qualifications? What is your education background? |
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Accredited Asset Management Specialist (AAMS) |
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What is your approach to financial planning? |
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I have a broad spectrum of financial tools and the experience to know how and when to use them. Being 100% independent means I can use these different tools when it is appropriate to you. I have no company based financial products, no sales quotas and remain solely committed to my clients and what is best for them. |
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What services do you offer? |
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The broadest spectrum of financial services available is offered. |
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Will you be the only person working with me? |
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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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What financial institution(s) do you represent? |
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Besdies general brokerage almost every mutual fund and insurance company is part of our tool kit. |
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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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I have a broad spectrum of financial tools and the experience to know how and when to use them. Being 100% independent means I can use these different tools when it is appropriate to you. I have no company based financial products, no sales quotas and remain solely committed to my clients and what is best for them. |
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What type of plans do you offer? |
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I have a broad spectrum of financial tools and the experience to know how and when to use them. Being 100% independent means I can use these different tools when it is appropriate to you. I have no company based financial products, no sales quotas and remain solely committed to my clients and what is best for them. |
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| Q. |
What are your qualifications? |
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Accredited Asset Management Specialist (AAMS) |
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What is your approach to 401 K plan rollovers? |
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Every new client is different and their needs, wants and desires must be identified before a rollover. |
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What financial institutions do you represent? |
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Besdies general brokerage almost every mutual fund and insurance company is part of our tool kit. |
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Why should I roll over my 401K plan to your firm? |
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I have a broad spectrum of financial tools and the experience to know how and when to use them. Being 100% independent means I can use these different tools when it is appropriate to you. I have no company based financial products, no sales quotas and remain solely committed to my clients and what is best for them. |
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Do you provide a free initial consultation? |
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