| Advisor Profile |
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| Name: |
Peter Nelson |
| Phone Number: |
(484) 334-4736 |
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Business Description |
| Registered Representative that conducts retirement planning, no cost financial planning, 401k rollovers, annuities and life insurance planning. Having over 6 years of experience. |
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General Information |
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| Insurance License#: |
336203
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| Name of Broker/Dealer: |
Securities Management & Research, Inc.
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| Years of Experience in Financial Services: |
6
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| Number of Years with Current Firm: |
3
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| I work with the following types of clients: |
Businesses, Investment Clubs, Individual Investors, Non-Profit Organizations
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Education |
| Academic Background |
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| Pennsylvania State University |
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Services |
| Investment Types: |
Mutual Funds, Annuities, Insurance
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Certified Senior Advisor (CSA)®
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| Securities Licenses: |
Series 63, Series 6
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| Insurance and Annuity Licenses: |
Disability, Long Term Care, Variable Annuity, Variable Life, Life, Health, Annuity, Accident, Casualty, Property
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| Financial Organization Memberships: |
National Association of Insurance and Financial Advisors (NAIFA)
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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 |
| Minimum Portfolio Size for New Managed Accounts: |
$1,000
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| Compensation Methods: |
Commissions
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| Prepared By: |
Peter Nelson |
| Most Recent Update: |
10/15/2008 |
Frequently Asked Questions |
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| Q. |
Do you have a customer satisfaction or refund policy? |
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I honestly never needed one! |
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What are your qualifications? What is your education background? |
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Extensive training and knowledge. |
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What is your approach to financial planning? |
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Staying to the conservative side is the smart way to go. |
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What services do you offer? |
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Mutual Fund open accounts, 401k rollovers, IRA's, annuities, life insurance, college savings and much more. |
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How many clients do you currently manage? |
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I believe in the most strict client confidentiality standards so I can't answer that. |
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Will you be the only person working with me? |
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No, not necessarily. Ocassionally I will have some colleagues help out on accounts when I deem it necessary. No extra cost to client. |
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How are you compensated? How will I pay for your services? |
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I am compensated by commission. I do not believe in hourly rates or fee based planning because a lot of times it's more expensive in the long run. |
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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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Nothing is guaranteed in life except death and taxes but I believe in fundamental solid investment strategies. |
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How much risk should I be willing to take? |
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Every person is different and that's why I believe in meeting face to face with my clients and finding out what their financial goals and objectives are. |
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Have you ever been charged with any breaches? |
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What carrier(s) do you represent? |
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American National Family of Companies, A+ rated and established in 1905 |
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Are there any pre-existing conditions that you can not cover? |
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Occasionally but not very often. |
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How long does it take to complete the application and approval process? |
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It can take up to a month. |
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Is there a maximum age that you can insure? |
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What services do you provide? What are your specialties? |
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Mutual Fund open accounts, 401k rollovers, IRA's, annuities, life insurance, college saving and much more. |
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What is your experience? How many clients do you currently manage? |
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Over 6 years of experience and because of client confidentiality and cannot comment on the number. |
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What financial institution(s) do you represent? |
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The American National Family of Companies for life insurance and annuities. Mutual fund companies such as American Funds and Franklin Templeton. |
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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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I don't try to do anything extraordinary, I just get to know my clients on both a personal and financial level and then put together a very solid and consistent strategy to help them reach their financial goals and objectives. |
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What are your qualifications? |
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Over 6 years of experience in the business and have not changed my strategy that the client comes first. |
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What is your approach to 401 K plan rollovers? |
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Get to know the client and their time horizon and then put together a strategy that will help them get there. |
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How long does the process of rolling over a 401K plan usually take? |
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Typically 2-4 weeks all depending on how quick the 401k company releases the assets. |
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What financial institutions do you represent? |
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Mutual fund companies such as American Funds and Franklin Templeton just to name two. Also representing the American National Family of Companies for life insurance and annuities. |
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How many years of experience do you have? |
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Over 6 years of experience. |
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What are your fees for this service? |
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No fees, commission based which typically is the least expensive way to go in the long run. |
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How many 401K rollover clients do you currently manage? |
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I can't comment because of client confidentiality. |
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Why should I roll over my 401K plan to your firm? |
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You worked hard for that money and you need someone who is gonna protect it in both up and down. Protecting your assets in downturns is what I excel at. |
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Do you provide a free initial consultation? |
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