| Advisor Profile |
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| Disclaimer |
| This information is designed to provide a general overview with regard to the subject matter covered and is not state specific. The authors, publisher and host are not providing legal, accounting or specific advice to your situation. Phone: (215) 860-9050 Bill@NewtownAdvisor.com
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Business Description |
| Retirement Planning Specialists for Mercer/Bucks County residents. Conservative Advice-Rollovers-RMD's-Mutual Funds-Annuities
Plain Talk-Straight Forward Advice Trusted Advice Experienced Advice |
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General Information |
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| Insurance License#: |
455555
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| Name of Custodial Firm: |
Scottrade
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| States Licensed in: |
PA,NJ,FL
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| States Willing to do Business in: |
PA,NJ,FL
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| Years of Experience in Financial Services: |
13
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| Number of Years with Current Firm: |
13
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| Work Experience: |
US Army,John Hancock Financial Services
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| I work with the following types of clients: |
Non-Profit Organizations, Individual Investors, Businesses
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Education |
| Academic Background |
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| Rider University |
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Services |
| Investment Types: |
Exchange Traded Funds (ETFs), Alternative Investments, Mutual Funds, Insurance, Annuities, Stocks, Bonds
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Certified Retirement Financial Advisor
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| Securities Licenses: |
Series 65
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| Insurance and Annuity Licenses: |
Disability, Variable Life, Long Term Care, Variable Annuity, Annuity, Life, HMO, Health, Casualty
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| Non-Financial Organization Memberships: |
American Legion Post 313
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| I work with clients as part of a team: |
Yes
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| Firm's Number of Clients: |
231
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Compliance |
| Registered Investment Advisor: |
Yes
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| Investment Advisor Representative: |
Yes
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| I am an acknowledged fiduciary: |
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: |
$10,000
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| Compensation Methods: |
Based on Assets, Commissions
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| Fee % Based on Assets: |
1%
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| Minimum Fee Charged for Managed Accounts: |
$0
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| Minimum Fee Charged for Hourly Planning Accounts: |
$0
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| Minimum Fee Charged for Flat Fee Accounts: |
$0
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| Prepared By: |
William Wolk |
Frequently Asked Questions |
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What are your qualifications? What is your education background? |
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Certified Retirement Financial Advisor, Rider University Graduate. |
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Will you be the only person working with me? |
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We have two registered investment advisors and two assistants who make up our team. |
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How are you compensated? How will I pay for your services? |
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We are compensated either by fee or commissions. We disclose all fees before entering into an agreement. |
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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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Yes, we are not stock brokers and do not sell or buy without first consulting our clients. |
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| Q. |
Do you offer any guaranteed results? |
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Certain investments or accumulation products do offer guarantees, some do not. We are paid to find the right choices for you. |
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How much risk should I be willing to take? |
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This varies with every individual and we will discuss this in great length before any investment. |
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Have you ever been charged with any breaches? |
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We have clean personal and business histories. This can be verified with the Pennsylvania and New Jersey Securities Commissions and the Pennsylvania and New Jersey Department of Insurance. |
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What carrier(s) do you represent? |
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We constantly search for new investments for our clients and we have access to numerous carriers for investments and insurance. |
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Do you provide a free initial consultation? |
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All initial consultations are free of charge. We use this consultation to determine if we have a mutually accepetable basis for doing business, so of course we would not charge for it. |
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Why should I choose you as my financial advisor? |
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Small firm attention from a local advisor with world class advice. |
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Will you come to my location? |
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We handle initial consultations in our office or at your home. |
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