| Advisor Profile |
 |
| Name: |
Henry Harris |
| Phone Number: |
(704) 315-2414 |
| Website: |
Visit Website
|
|
|
 |
| Research This Advisor |
|
| Request More Information |
|
| Disclaimer |
| Securities offered through Synergy Investment Group, LLC.; Member FINRA/SIPC |
|
|
|
|
|
Business Description |
Experience an Advisory Relationship with Integrity.
With over 29 years of combined experience, the advisors at Spark AMG have provided individuals and families with a depth of insight and integrity that has made us a valued and trusted partner. We specialize in the needs of families and individuals thrust into rapid wealth; those with complex planning needs; the creation of comprehensive wealth management and preservation plans; and delivering solutions that will help clients and their families reach and keep their goals.
Spark Asset Management Group is a boutique investment advisory firm focused on applying the highest standards of professional management, personal consulting services, and fiduciary care for elite families and individuals who want to plan for tomorrow and live for today.
Spark strives to serve as a financial “problem-solver” for our clients. We will coordinate the efforts of knowledgeable professionals to ensure that our clients are receiving the highest quality advice and guidance of integrity.
With our experienced, dedicated staff of professionals and a host of strategic advisors we have assembled over the years, Spark has the resources to provide you with the support, knowledgeable advice, and ongoing service you and your family desire. |
|
| |
|
|
General Information |
|
|
|
|
|
|
| Insurance License#: |
NC068505167
|
|
| Name of Broker/Dealer: |
Synergy Investment Group
|
|
| Name of Custodial Firm: |
Pershing/Penson/Schwab
|
|
| States Licensed in: |
NC, SC, FL, TX, NY
|
|
| States Willing to do Business in: |
All States
|
|
| Years of Experience in Financial Services: |
15
|
|
| Number of Years with Current Firm: |
4
|
|
| I work with the following types of clients: |
Non-Profit Organizations, Individual Investors, Businesses, Athletes
|
|
| |
|
Education |
| Academic Background |
| |
MBA - University of Texas at Austin
BSCE - Michigan State University |
|
| |
|
Services |
| Investment Types: |
Insurance, Mutual Funds, Options & Futures, Alternative Investments, Exchange Traded Funds (ETFs), Annuities, Bonds, Stocks
|
|
| |
|
Qualifications & Memberships |
| Securities Licenses: |
Series 63, Series 7, Series 24, Series 65
|
|
| Insurance and Annuity Licenses: |
Health, Annuity, Accident, Variable Life, Disability, Variable Annuity, Life
|
|
| |
|
Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
|
|
| I work with clients as part of a team: |
Yes
|
|
| |
|
Compliance |
| Registered Investment Advisor: |
Yes
|
|
| Registered 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: |
$250,000
|
|
| Compensation Methods: |
Flat Fee, Commissions, Based on Assets, Hourly
|
|
| |
|
| |
| |
| Prepared By: |
Henry Harris |
| Most Recent Update: |
11/06/2008 |
Frequently Asked Questions |
|
| Q. |
Do you have a customer satisfaction or refund policy? |
| |
We strive for 100% satisfaction. If you are not completely satisfied, we need to talk. Our goal is to resolve any issues to your satisfaction. |
|
| Q. |
What are your qualifications? What is your education background? |
| |
I earned an MBA from the University of Texas at Austin, and a BSCE from Michigan State University. I've been professionally engaged in financial services since 1993, and I've worked first as a stock broker, then as a researcher for a multi-billion dollar asset manager, then with hedge funds, and now as a financial advisor. I also was a Navy Officer and flight instructor for nine years. |
|
| Q. |
What is your approach to financial planning? |
| |
Comprehensive and holistic. We follow a multi-step process focused on your needs. |
|
| Q. |
What services do you offer? |
| |
Financial planning (including retirement, estate and college planning), investment & risk management, business consulting. |
|
| Q. |
How many clients do you currently manage? |
|
| Q. |
Will you be the only person working with me? |
| |
While I am the primary advisor, we have a team approach, and where necessary and appropriate we will bring in additional team members to serve your interests. |
|
| Q. |
How are you compensated? How will I pay for your services? |
| |
While we can work on either a fee or commission basis, we prefer to work with clients on a fee basis. Our fee is calculated as a percentage of assets under management. We can also perform planning and consulting services on an hourly fee basis. Clients can elect to be invoiced and pay for services as they are rendered, or as most clients prefer, fees can be debited from the accounts managed. |
|
| Q. |
If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
| |
In most of our client engagements, we are hired to manage money on a discretionary basis, however clients can elect to work with us on a commission basis and under that arrangement we must obtain permission prior to executing transactions in a customer's account. |
|
| Q. |
Do you offer any guaranteed results? |
| |
While we strive to serve our clients in the most professional manner, we -like everyone else who provides investment advice - cannot offer guaranteed results. Doing so would be a blatant violation of securities laws. |
|
| Q. |
How much risk should I be willing to take? |
| |
We believe that the appropriate amount of risk for an investor to take, is the minimum necessary to reach their objectives with some margin of comfort. Risk should be evaluated on both a portfolio and individual asset level and it should be assessed frequently as the economy and the individuals personal situation changes. |
|
| Q. |
Have you ever been charged with any breaches? |
| |
In an increasingly litigious society and amid some of the worst economic and market conditions in history, we are extremely proud of the fact that no one in our firm has ever been charged with a customer complaint. |
|
| Q. |
What services do you provide? What are your specialties? |
|
| Q. |
What is your experience? How many clients do you currently manage? |
|
| Q. |
What financial institution(s) do you represent? |
| |
While we maintain our own Registered Investment Advisor, we also chose to be registered with an independent broker/dealer who has no proprietary products. In this capacity, we have access to many of the most well-known product sponsors in the industry - but we have no quotas to meet or preferred products to push. |
|
| Q. |
How do you charge for your services? |
|
| Q. |
Do you provide a free initial consultation? |
| |
Yes. We offer a free one hour consultation to see if you have a need we can help with and if we might work well together. |
|
| Q. |
Why should I choose you as my financial advisor? |
| |
We have the experience, integrity, and concern for our clients that you desire. We strive to provide our clients with a comprehensive solution that often means serving as our clients' problem-solver in many of their financial related matters. |
|
| Q. |
What are your qualifications? |
|
| Q. |
What is your approach to 401 K plan rollovers? |
|
| Q. |
How long does the process of rolling over a 401K plan usually take? |
| |
I've seen it take anywhere from a few days to a few months, depending on the responsiveness of the various parties - custodians, former employers, and clients. |
|
| Q. |
What financial institutions do you represent? |
|
| Q. |
How many years of experience do you have? |
| |
I have been in the financial services industry since 1993 |
|
| Q. |
What are your fees for this service? |
|
| Q. |
How many 401K rollover clients do you currently manage? |
|
| Q. |
Why should I roll over my 401K plan to your firm? |
|
| Q. |
Do you provide a free initial consultation? |
|
|
|
