Business Description

I work with individuals that are tired of giving back all of their gains everytime the stock market begins to fall. If you are interested in making money and keeping it, then you have found someone you must talk to. I am a portfolio manager with strict strict risk management, as well as, strict money management.

General Information

Gender:

Male

CRD#:

4748724

Firm CRD#:

19616

Name of Broker/Dealer:

Wachovia Securities, LLC

States Licensed in:

AZ, CA, NV, OH, PA

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Investment Clubs, Individual Investors

Education

Academic Background

BS, Finance

Services

Investment Types:

Mortgages & Real Estate, Alternative Investments, Exchange Traded Funds (ETFs), Bonds, Stocks, Annuities, Insurance, Commodities, Mutual Funds, Options & Futures, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

Accredited Asset Management Specialist (AAMS®)

Securities Licenses:

Series 7, Series 66

Insurance and Annuity Licenses:

Annuity, Variable Annuity, Long Term Care, Variable Life, Life, Health, Accident

Financial Organization Memberships:

National Association of Personal Financial Advisors (NAPFA), National Association of Insurance and Financial Advisors (NAIFA)

Non-Financial Organization Memberships:

Kiwanis, Surfrider foundation

Firm Information

Number of Advisors in Office:

10 - 99 employees

Compliance

Registered Representative:

Yes

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

Fee Structure:

I am a fee-based financial professional

Minimum Portfolio Size for New Managed Accounts:

$50,000

Compensation Methods:

Based on Assets, Commissions

Prepared By:

Derek Miller