Business Description
Our services cover all areas of financial management, from investment and retirement planning to risk management and estate conservation. We specialize in helping our clients develop a comprehensive, cohesive financial strategy that fits their unique needs and enable them to meet both short- and long-term objectives.
General Information Gender:    Male CRD#:    1112873 Name of Broker/Dealer:    Woodbury Financial Services Name of Custodial Firm:    Pershing States Licensed in:    DE,PA,MD,NJ,SC,WA,NY, Years of Experience in Financial Services:    24 Number of Years with Current Firm:    20 I work with the following types of clients:    Businesses, Investment Clubs, Non-Profit Organizations, Individual Investors
Education Academic Background   BS - Juniata College MBA - Pepperdine University
Services Investment Types:    Bonds, Stocks, Annuities, Insurance, Mutual Funds, Options & Futures, Alternative Investments, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)
Qualifications & Memberships Certifications, Accreditations & Designations:    CERTIFIED FINANCIAL PLANNER™ Certificant Securities Licenses:    Series 65, Series 63, Series 24, Series 22, Series 7, Series 6 Insurance and Annuity Licenses:    Variable Life, HMO, Health, Variable Annuity, Long Term Care, Life, Disability, Annuity Financial Organization Memberships:    Financial Planning Association (FPA), National Association of Insurance and Financial Advisors (NAIFA) Non-Financial Organization Memberships:    Boy Scouts of America
Firm Information Number of Advisors in Office:    Up to 10 employees I work with clients as part of a team:    Yes Firm's Number of Clients:    200 Firm's Number of Planning Clients:    50
Compliance Registered Representative:    Yes Investment Advisor Representative:    Yes Compliance Disclosures in Last 5 years:    I have a clean record Criminal Disclosures in Last 5 years:    I have a clean record
Compensation & Fees I am a fee-based financial professional:    Yes Minimum Portfolio Size for New Managed Accounts:    $100,000 Compensation Methods:    Based on Assets, Hourly, Flat Fee, Commissions Fee % Based on Assets:    !.25% Hourly Rate:    $100 Flat Fee Rate:    $500 Minimum Fee Charged for Managed Accounts:    $1,000 Minimum Fee Charged for Hourly Planning Accounts:    $500 Minimum Fee Charged for Flat Fee Accounts:    $500
Prepared By:	William Walters
Most Recent Update:	09/02/2008

Frequently Asked Questions

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