| Advisor Profile |
|
 |
| Research This Advisor |
|
| Request More Information |
|
|
|
|
|
|
Business Description |
| Advise clientele in all facets of financial planning. Primary focus is investments and building assets. Insurance planning when needed. |
|
| |
|
|
General Information |
|
|
|
|
|
|
| Name of Broker/Dealer: |
Mutli-Financial Securities Corporation
|
|
| States Licensed in: |
GA, KS, MO, OH, TX
|
|
| Years of Experience in Financial Services: |
15
|
|
| Number of Years with Current Firm: |
1
|
|
| I work with the following types of clients: |
Individual Investors
|
|
| |
|
Education |
| Academic Background |
| |
Degree in Economics
MBA |
|
| |
|
Services |
| Investment Types: |
Annuities, Stocks, Alternative Investments, Mortgages & Real Estate, Bonds
|
|
| |
|
Qualifications & Memberships |
| Securities Licenses: |
Series 6, Series 7, Series 10, Series 26, Series 9
|
|
| |
|
Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
|
|
| |
|
Compliance |
| 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
|
|
| Compensation Methods: |
Based on Assets
|
|
| Fee % Based on Assets: |
1%
|
|
| Additional Details on Charges: |
Vary by client situation
|
|
| |
|
| |
| |
| Prepared By: |
Kevin Adam |
Frequently Asked Questions |
|
| Q. |
Do you have a customer satisfaction or refund policy? |
|
| Q. |
What are your qualifications? What is your education background? |
| |
Over 14 years of providing financial advise in MidMissouri. Earned and Economics degree and an MBA. |
|
| Q. |
What is your approach to financial planning? |
| |
Uniquely tailored to each client. Managing risk is critical. Clients range from conservative to higher risk depending on their specific situation. |
|
| Q. |
What services do you offer? |
| |
Investment planning is the primary focus area. Also address taxes, estate planning, and insurance needs when necessary. |
|
| Q. |
How many clients do you currently manage? |
|
| Q. |
Will you be the only person working with me? |
|
| Q. |
How are you compensated? How will I pay for your services? |
| |
Various programs from the client can choose the one which they prefer. |
|
| Q. |
If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
|
| Q. |
Do you offer any guaranteed results? |
| |
Yes, but only on instruments that provide guarantees (e.g. CD's). Other instruments would have market risks (e.g. stocks, bonds, mutual funds). |
|
| Q. |
How much risk should I be willing to take? |
| |
That will be determined based on your risk tolerance and time horizon. |
|
| Q. |
Have you ever been charged with any breaches? |
|
| Q. |
What carrier(s) do you represent? |
| |
Hundreds. I am independent. |
|
| Q. |
Are there any pre-existing conditions that you can not cover? |
| |
Each company is different. |
|
| Q. |
How long does it take to complete the application and approval process? |
| |
That depends on the type of coverage you are applying for. |
|
| Q. |
Is there a maximum age that you can insure? |
|
| Q. |
What services do you provide? What are your specialties? |
| |
Investment management, estate planning, insurance planning. |
|
| Q. |
What is your experience? How many clients do you currently manage? |
| |
Over 14 years of experience. Over 100 clients. |
|
| Q. |
What financial institution(s) do you represent? |
| |
I represent all companies. I am independent. |
|
| Q. |
How do you charge for your services? |
| |
Various ways that will be discussed so the client can choose the arrangement that best suits their situation. |
|
| Q. |
Do you provide a free initial consultation? |
|
| Q. |
Why should I choose you as my financial advisor? |
| |
I specialize in prudent asset allocation which leads to consistent returns that complement my clients specific comfort with risk. |
|
| Q. |
What are your management fees? |
| |
Vary by investments chosen by client. |
|
| Q. |
What kind of plans do you specialize in? |
| |
401k, SEP, SIMPLE, IRA's, etc. |
|
| Q. |
Do you have a minimum requirement for number of employees or total investment value? |
|
| Q. |
What type of plans do you offer? |
| |
401k, SEP, SIMPLE, IRA's, etc. |
|
| Q. |
Do you offer any additional services? |
| |
All other investment and insurance services. |
|
| Q. |
What are your qualifications? |
| |
14 years advising clients. |
|
| Q. |
What is your approach to Education Planning? |
| |
529 Plans are usually the optimal tool, but each situation must be reviewed individually. |
|
| Q. |
How long does the process of setting up an Education Plan usually take? |
|
| Q. |
What financial institutions do you represent? |
|
| Q. |
How many years of experience do you have? |
|
| Q. |
What are your fees for this service? |
|
| Q. |
How many Education Planning clients do you currently manage? |
|
| Q. |
Why should I work with you on setting up an Education Plan? |
|
| Q. |
Do you provide a free initial consultation? |
|
| Q. |
What are your qualifications? |
| |
Over 14 years advising clients. Will provide client referrals. |
|
| Q. |
What is your approach to 401 K plan rollovers? |
| |
Prudent asset allocation brings consistent results that complement a clients comfort level with risk. |
|
| Q. |
How long does the process of rolling over a 401K plan usually take? |
| |
It is important so I would not want to take any shortcuts. |
|
| Q. |
What financial institutions do you represent? |
|
| Q. |
How many years of experience do you have? |
|
| Q. |
What are your fees for this service? |
|
| Q. |
How many 401K rollover clients do you currently manage? |
|
| Q. |
Why should I roll over my 401K plan to your firm? |
| |
Experience and knowledge. |
|
| Q. |
Do you provide a free initial consultation? |
|
|
|
