Business Description

I am an attorney who recently formed my financial services company. I am in process of forming my own independent RIA. I will be providing fee-based money management services. I currently provide financial planning services. I subscribe to the financial planning process.

General Information

Gender:

Male

CRD#:

In process

Insurance License#:

A051345

Name of Custodial Firm:

Trade-PMR, Inc.

States Licensed in:

Alabama

States Willing to do Business in:

Georgia and Tennessee

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

15 years as CPA
11 years as Attorney

I work with the following types of clients:

Businesses, Individual Investors

Education

Academic Background

B.S. Accounting, Auburn University
J.D. Regent University
M.A. Regent University
Graduate of Trial Lawyers College in Dubois, Wyoming

Services

Investment Types:

Exchange Traded Funds (ETFs), Mutual Funds, Insurance, Annuities

Qualifications & Memberships

Certifications, Accreditations & Designations:

Certified Public Accountant (CPA)

Securities Licenses:

Series 65

Insurance and Annuity Licenses:

Accident, Life, Health, Annuity, Disability, Long Term Care

Financial Organization Memberships:

American Institute of Certified Public Accountants (AICPA)

Non-Financial Organization Memberships:

Alabama State Bar

Firm Information

Number of Advisors in Office:

Up to 10 employees

Compliance

Registered Investment Advisor:

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:

$50,000

Compensation Methods:

Commissions, Flat Fee, Hourly, Based on Assets

Fee % Based on Assets:

1.00

Flat Fee Rate:

$125.00

Minimum Fee Charged for Managed Accounts:

$750.00

Minimum Fee Charged for Flat Fee Accounts:

$250.00

Prepared By:

Richard Fricks