| Advisor Profile |
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Business Description |
| Full service financial planning. Retirement income, muncipal bond experts. Family owned and operated. |
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General Information |
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| Insurance License#: |
0B69897
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| Name of Broker/Dealer: |
Raymond James Financial Services, Inc.
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| States Licensed in: |
AZ, CA, CO, FL, MN, VA
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| Years of Experience in Financial Services: |
13
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| Number of Years with Current Firm: |
5
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| I work with the following types of clients: |
Businesses, Non-Profit Organizations, Government Agencies, Individual Investors
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Education |
| Academic Background |
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Bachelor of Science degree - Arizona State University
MBA - Pepperdine Univeristy |
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Services |
| Investment Types: |
Stocks, Annuities, Insurance, Mutual Funds, Bonds, Exchange Traded Funds (ETFs)
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Qualifications & Memberships |
| Securities Licenses: |
Series 10, Series 63, Series 65, Series 9, Series 7
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| Insurance and Annuity Licenses: |
Annuity, Life
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| Non-Financial Organization Memberships: |
Managing Director - Mesa Consolidated Water District
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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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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 |
| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$250,000
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| Compensation Methods: |
Based on Assets, Commissions, Flat Fee
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| Prepared By: |
Shawn Dewane |
| Most Recent Update: |
09/12/2008 |
Frequently Asked Questions |
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