| Advisor Profile |
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Business Description |
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General Information |
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| Name of Broker/Dealer: |
Wachovia Securities, LLC
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| States Licensed in: |
AL, CO, CT, DE, FL, GA, KY, MO, NJ, NY, NC, PA, SC, TN, VA
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| Years of Experience in Financial Services: |
25
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| Number of Years with Current Firm: |
20
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| I work with the following types of clients: |
Non-Profit Organizations, Individual Investors, Businesses
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Education |
| Academic Background |
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| BS, Accounting (1981) |
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Services |
| Investment Types: |
Options & Futures, Alternative Investments, Mutual Funds, Annuities, Stocks, Bonds
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CERTIFIED FINANCIAL PLANNER™ Certificant, Certified Public Accountant (CPA), Chartered Financial Analyst Candidate, Certified Management Accountant (CMA®)
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| Securities Licenses: |
Series 63, Series 7
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| Insurance and Annuity Licenses: |
Long Term Care, Variable Annuity, Variable Life, Annuity
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| Financial Organization Memberships: |
Financial Planning Association (FPA), American Institute of Certified Public Accountants (AICPA)
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| Firm's Number of Managed Clients: |
200
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| Advisor's Number of Clients: |
200
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| Advisor's Number of Managed Clients: |
200
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| Advisor's Number of Planning Clients: |
200
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| Assets Managed by Advisor: |
$100,000,000
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Compliance |
| Registered Representative: |
Yes
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| I am an acknowledged fiduciary: |
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
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| Fee % Based on Assets: |
1.00
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| Prepared By: |
Charles Jones |
Frequently Asked Questions |
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