| Advisor Profile |
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| Name: |
Deane Hafling |
| Phone Number: |
(281) 377-6038 |
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Business Description |
| If you think Edward Jones is like every other large investment firm, think again. We are a leader in the financial-services industry, but we take a personal approach to business, an approach that starts with a face-to-face meeting between a financial advisor and you.
We believe that building long-term relationships with our nearly 7 million clients is key to serving their needs. Whether it's in the United States, Canada, or the United Kingdom, we're located in the communities where you live and work because that's the best way to get to know you and to help you reach your financial goals.
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General Information |
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| Name of Broker/Dealer: |
Edward Jones
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| States Licensed in: |
AL, AZ, GA, MS, PA, TX
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| States Willing to do Business in: |
AL, AZ, GA, MS, PA, TX
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| Years of Experience in Financial Services: |
4
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| Number of Years with Current Firm: |
4
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| Work Experience: |
1994-2001 Project Leader/Programmer
2001-2004 Financial Analyst
2004-Present Financial Advisor
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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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BBA from Texas A&M University, 1993
MBA from University of Houston, 2001 |
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Services |
| Investment Types: |
Stocks, Annuities, Insurance, Mutual Funds, Exchange Traded Funds (ETFs), Certificate of Deposit (CDs), Bonds
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Qualifications & Memberships |
| Securities Licenses: |
Series 7, Series 63, Series 66
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| Insurance and Annuity Licenses: |
Variable Annuity, Health, Annuity, Long Term Care, Variable Life, Life
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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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| Investment Advisor 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 |
| Minimum Portfolio Size for New Managed Accounts: |
100000
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| Compensation Methods: |
Based on Assets, Commissions
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| Fee % Based on Assets: |
0.5 - 2.5
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| Prepared By: |
Deane Hafling |
Frequently Asked Questions |
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What are your qualifications? What is your education background? |
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I graduated from Texas A&M University in 1993. I was a Project Leader/Programmer in the Oil & Gas Industry for 8 years. I received my MBA from the University of Houston in 2001 and changed careers. I was a financial analsyt for 3 years before becoming a financial advisor with Edward Jones. |
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What services do you offer? |
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We offer the full range of investments from CDs, bonds, stocks, mutual funds, annuties and managed accounts. |
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Will you be the only person working with me? |
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When you call my office, you will only speak to two people. Either me or my assistant. You will never be passed off to anyone else. |
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How are you compensated? How will I pay for your services? |
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I am both commission based and fee based. It depends on the clients needs and desires as to who I am compensated, which is driven by the investment vehicle that is used. |
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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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We never make a move without first talking to our clients, even when it comes to CDs maturing. |
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How much risk should I be willing to take? |
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We will walk through a risk tolerance questionairre before any money is invested to determine how much risk to take. |
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Have you ever been charged with any breaches? |
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What financial institution(s) do you represent? |
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Do you provide a free initial consultation? |
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What kind of plans do you specialize in? |
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Small to medium size businesses, I prefer to work with companies under 100 employees. |
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What type of plans do you offer? |
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Simple IRA, SEP, 401k, Safe Harbour 401k, IRA, Roth IRA, Profit Sharing Pland |
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How long does the process of setting up an Education Plan usually take? |
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Do you provide a free initial consultation? |
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How long does the process of rolling over a 401K plan usually take? |
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Depends on where the 401k plan resides. |
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Do you provide a free initial consultation? |
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