| Advisor Profile |
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Business Description |
| Registered Investment Advisor specializing in low risk/low volatilty, high return investment strategies. |
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General Information |
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| Name of Broker/Dealer: |
Independent
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| Name of Custodial Firm: |
TD Ameritrade
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| States Licensed in: |
Georgia
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| States Willing to do Business in: |
All
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| Years of Experience in Financial Services: |
14
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| Number of Years with Current Firm: |
4
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| Work Experience: |
14 years experience in all aspects of financial services.
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| I work with the following types of clients: |
Businesses, Individual Investors
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Services |
| Investment Types: |
Alternative Investments, Options & Futures, Mutual Funds, Stocks, Bonds
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Qualifications & Memberships |
| Securities Licenses: |
Series 65
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| Non-Financial Organization Memberships: |
Angelman Syndrome Foundation of Georgia, Inc.
Vice-Chairman, Alpharetta, Georgia Economic Development Authority
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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Compliance |
| Registered Investment Advisor: |
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-only financial professional: |
Yes
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| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
50,000
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| Compensation Methods: |
Based on Assets
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| Fee % Based on Assets: |
1-3
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| Prepared By: |
Mike Kennedy |
| Most Recent Update: |
10/01/2008 |
Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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Customers may cancel their investment management agreement at any time. |
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Do you offer any guaranteed results? |
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What services do you provide? What are your specialties? |
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We provide comprehensive investment management services with with an overwhelming emphasis on risk management and risk control. We also have relationships with more than 250 institutional-quality investment managers who specialize in certain areas. We have many options to design just the right investment program for any client. |
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What is your experience? How many clients do you currently manage? |
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I have been in the financial services industry for 14 years. I currently hold a Series 65 license from the NASD for Registered Investment Advisors. |
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What financial institution(s) do you represent? |
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My investment advisory practice is locally-owned and is totally independent of any brokerage firm. |
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How do you charge for your services? |
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We are fee-based and charge only based on a percentage of assets managed. This aligns our interest with the client. We do not sell any commission products nor do we recommend any commision-based products. |
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Do you provide a free initial consultation? |
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Absolutely! We will provide a free initial consultation at our office or we will be happy to come to your home or place of business. |
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Why should I choose you as my financial advisor? |
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With our emphasis on risk management, our first priority is to protect client portfolios from as much loss as possible in the event of a market downturn. We believe -- and our experience has proven -- that this leads to our client portfolios outperforming the overall market over the long run. |
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What are your qualifications? |
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I have been in the financial services industry for 14 years. I currently hold a Series 65 license from the NASD for Registered Investment Advisors. |
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| Q. |
What is your approach to 401 K plan rollovers? |
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We walk our clients through the 401k rollover process each step of the way. In most cases, we can handle most -- if not all -- of the paperwork involved and can make the transition from company 401k to a self-directed Rollover IRA a smooth one. |
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How long does the process of rolling over a 401K plan usually take? |
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What financial institutions do you represent? |
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My investment advisory practice is locally-owned and is totally independent of any brokerage firm. |
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How many years of experience do you have? |
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14 years in the financial industry. |
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What are your fees for this service? |
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We do not charge anything to help clients roll over their funds from an employer 401k to a Rollover IRA. Once the account is established, our fee is simply billed as a percentage of the total amount of assets that we manage. |
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Why should I roll over my 401K plan to your firm? |
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Our investment management philosophy of making risk management and risk control the top priority makes us a natural choice for managing money that is earmarked for retirement. |
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Do you provide a free initial consultation? |
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Absolutely! We will provide a free initial consultation at our office or we will be happy to come to your home or place of business. |
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