Business Description

General Information

Gender:

Male

CRD#:

2024379

Firm CRD#:

19616

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:

Number of Years with Current Firm:

I work with the following types of clients:

Non-Profit Organizations, Individual Investors, Businesses

Education

Academic Background

BS, Accounting (1981)

Services

Investment Types:

Options & Futures, Alternative Investments, Mutual Funds, Annuities, Stocks, Bonds

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, Certified Public Accountant (CPA), Chartered Financial Analyst Candidate, Certified Management Accountant (CMA®)

Securities Licenses:

Series 63, Series 7

Insurance and Annuity Licenses:

Long Term Care, Variable Annuity, Variable Life, Annuity

Financial Organization Memberships:

Financial Planning Association (FPA), American Institute of Certified Public Accountants (AICPA)

Firm Information

Number of Advisors in Office:

Up to 10 employees

Firm's Number of Managed Clients:

200

Advisor's Number of Clients:

200

Advisor's Number of Managed Clients:

200

Advisor's Number of Planning Clients:

200

Assets Managed by Advisor:

$100,000,000

Compliance

Registered Representative:

Yes

I am an acknowledged fiduciary:

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

Fee % Based on Assets:

1.00

Prepared By:

Charles Jones