| Advisor Profile |
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Business Description |
| We provide comprehensive financial planning and investment management services. We work with high net worth families and act as the "CFO" of their financial affairs. |
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General Information |
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| States Licensed in: |
WA, OR, AZ, MN, UT, PA, CO, NC, SC
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| Years of Experience in Financial Services: |
9
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| Number of Years with Current Firm: |
9
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Education |
| Academic Background |
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| BSB in Finance, University of Minnesota, Carlson School of Management |
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Services |
| Investment Types: |
Variable Insurance Products, Bonds, Stocks, Annuities, Insurance, 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: |
CERTIFIED FINANCIAL PLANNER (CFP®), Certified Financial Planner, Accredited Asset Management Specialist (AAMS®)
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| Securities Licenses: |
Life & Health, Series 7, Series 63, Series 65
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| Insurance and Annuity Licenses: |
Variable Life, Disability, Variable Annuity, Long Term Care, Life, Annuity
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| Financial Organization Memberships: |
Financial Planning Association (FPA)
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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Compliance |
| Registered 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: |
$100,000
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| Compensation Methods: |
Based on Assets, Flat Fee
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| Prepared By: |
Thomas Faley |
| Most Recent Update: |
05/02/2008 |
Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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What are your qualifications? What is your education background? |
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BSB in Finance, University of Minnesota, Carlson School of Management
Certified Financial Planner (CFP)
Accredited Asset Management Specialist (AAMS)
Senior Financial Advisor |
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What services do you offer? |
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Comprehensive Financial Planning (Retirement, Education, Tax, Estate, and Financial Position Planning), investment management, and retirement income strategies |
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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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I am the only one who will be meeting with the clients, but there is a team of professionals behind the scenes. |
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How are you compensated? How will I pay for your services? |
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I am a fee-based financial planner |
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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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The amount necessary to reach your goal |
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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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Comprehensive Financial Planning (Retirement, Education, Tax, Estate, and Financial Position Planning), investment management, and retirement income strategies |
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What is your experience? How many clients do you currently manage? |
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How do you charge for your services? |
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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 care more about the success of my clients than anyone else, we provide a high level of service, and we are honest. |
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