| Advisor Profile |
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| Disclaimer |
| New England Financial is the service mark for New England Life Insurance Company (NELICO), 501 Boylston Street, Boston, MA 02116. Securities products and investment advisory services are offered through New England Securities Corp.(NES), a broker-dealer (member FINRA/SIPC) and a registered investment adviser. NELICO and NES are affiliates. General Securities are offered only on an unsolicited basis.
L08086524[exp1110][MN]
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Business Description |
My team's mission is to help individuals, successful professionals, business owners, retirees, and others see and solve their financial problems. We focus on assisting clients in wealth accumulation and preservation, income protection, income strategies during retirement, business planning, and estate planning. As an investment specialist, I work with my clients to achieve financial freedom by building a portfolio of well diversified investments according to their goals and risk tolerance.
Our goal is to use our team's diverse knowledge and experience to help solve our client's unique problems in a manner that provides them with custom solutions and excellent service. |
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General Information |
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| Name of Broker/Dealer: |
New England Securities
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| States Licensed in: |
MN,WI,FL,IA
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| Years of Experience in Financial Services: |
6
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| Number of Years with Current Firm: |
6
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| I work with the following types of clients: |
Individual Investors, Non-Profit Organizations, Businesses
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Services |
| Investment Types: |
Mutual Funds, Bonds, Stocks, Exchange Traded Funds (ETFs), Alternative Investments, Insurance, Annuities, Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Securities Licenses: |
Series 63, Series 6, Series 7
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| Insurance and Annuity Licenses: |
Disability, Variable Life, Long Term Care, Variable Annuity, Health, Life, Annuity, Accident
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| Financial Organization Memberships: |
Million Dollar Roundtable, Financial Planning Association (FPA)
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Firm Information |
| Number of Advisors in Office: |
10 - 99 employees
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| I work with clients as part of a team: |
Yes
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| Advisor's Number of Clients: |
250
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| Advisor's Number of Managed Clients: |
75
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| Advisor's Number of Planning Clients: |
25
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| Assets Managed by Advisor: |
$25000000
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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: |
$25000
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| Compensation Methods: |
Based on Assets, Commissions, Flat Fee
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| Fee % Based on Assets: |
1-1.25
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| Prepared By: |
Bryan Schuenemann |
| Most Recent Update: |
09/16/2008 |
Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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What are your qualifications? What is your education background? |
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BS in economics and management from UW La Crosse |
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How many clients do you currently manage? |
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Will you be the only person working with me? |
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No, I will always be the lead contact but I work with a number of specialists in different field that help to bring more knowledge to the meetings. |
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How are you compensated? How will I pay for your services? |
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Fee- based or commission based |
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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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Have you ever been charged with any breaches? |
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What carrier(s) do you represent? |
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Metlife is my main company, but i can broker more then 40 other companies. |
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