| Advisor Profile |
|
 |
| Research This Advisor |
|
| Request More Information |
|
|
|
|
|
|
Business Description |
|
|
| |
|
|
General Information |
|
|
|
|
|
|
| Name of Broker/Dealer: |
Wachovia Securities, LLC
|
|
| States Licensed in: |
AL, CO, CT, DE, FL, GA, KY, MO, NJ, NY, NC, PA, SC, TN, VA
|
|
| Years of Experience in Financial Services: |
18
|
|
| Number of Years with Current Firm: |
18
|
|
| |
|
Education |
| Academic Background |
| |
| BS, Accounting (1981) |
|
| |
|
Services |
| Investment Types: |
Annuities, Mutual Funds, Options & Futures, Alternative Investments, Stocks, Bonds
|
|
| |
|
Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Certified Public Accountant (CPA), Certified Management Accountant (CMAŽ)
|
|
| Securities Licenses: |
Series 7
|
|
| |
|
Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
|
|
| |
|
Compliance |
| 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: |
Based on Assets, Commissions
|
|
| |
|
| |
| |
| Prepared By: |
Charles Jones |
Frequently Asked Questions |
|
|
|
