| Advisor Profile |
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| Name: |
John Potts, CFP®, RFC |
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| Research This Advisor |
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| Disclaimer |
| Securities offered through Berthel Fisher and Company Financial Services, Inc. Member FINRA/ SIPC. |
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Business Description |
| Fiercely Independent Veteran of Financial Services industry specializing in Quantitive Analysis without using mutual funds,individual stocks, or ETF's. |
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General Information |
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| States Licensed in: |
Texas, Arkansas, Maryland, and Kentucky.We can become licensed in other states by applying and paying fees. The process usually takes a few days to a few weeks.
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| Years of Experience in Financial Services: |
31
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| Work Experience: |
Financial Planning based asset management using Wachovia's Envision program.
Estate Planning using life insurance trusts. Charitable Giving using Charitable Reminder Trusts.
Small Business cash management programs.
Portfolio design,analysis and asset allocation.
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Education |
| Academic Background |
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B.S. Baylor University, '74
Certified Financial Planner '87
Registered Financial Consultant '05 |
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Services |
| Investment Types: |
Money Markets, Bonds, Stocks, Annuities, Mutual Funds, Options & Futures, Alternative Investments, Variable Insurance Products
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Investment Advisor Representitve (IAR), Certified Financial Planner
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| Securities Licenses: |
Life Insurance Counselor, Life & Health, Series 7
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| Assets Managed by Firm: |
$383m
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| Advisor's Number of Clients: |
over 200
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| Assets Managed by Advisor: |
Appox $15m
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Compensation & Fees |
| Minimum Portfolio Size for New Managed Accounts: |
$100,000
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| Compensation Methods: |
Based on Assets
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| Fee % Based on Assets: |
.60ïo 2ï1405162264=None
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| Additional Details on Charges: |
Money Management fees are negotiated based on anticipated activity and size of the account. Mutiple accounts with same address can be combined for fee discount purposes.We have the ability to exclude certain assets from billing per mutual agreement.
Fees are pulled from account(s)quarterly. We are most interested in long term relationships but our clients are not obligated to us thru long term contracts. Clients are free to leave anytime.
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| Minimum Fee Charged for Managed Accounts: |
$1,000
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| Prepared By: |
John Potts, CFP®, RFC |
| Most Recent Update: |
08/08/2008 |
Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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No, but you are welcome to visit with any number of our existing clients. |
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What are your qualifications? What is your education background? |
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B.S. Baylor University- 1974
Series 7 and 63 securities licenses
Certified Financial Planner- 1987
Registered Financial Consultant- 2005
Life Insurance Agent-1976 Texas Agent number 713667
Life Insurance Counselor-1999 Texas license number 104258
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What is your approach to financial planning? |
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We use the Wachovia "Envision" system. Please ask us for more information and we will send via email. |
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What services do you offer? |
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Asset management for a fee. The annual fee is based on assets under management. |
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How many clients do you currently manage? |
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We activitly managed less than 100 accounts. We intend to close this segment of our practice when reaching 100 accounts. |
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Will you be the only person working with me? |
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No, in order to provide you with maxium accessability to our products and services I have a partner. |
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How are you compensated? How will I pay for your services? |
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We offer our products and services on both a fee and/or commmission basis
depending on the product and the client's requirements and comfort. |
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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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Only what you are comfortable with. |
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Have you ever been charged with any breaches? |
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