Business Description

Disch & Associates, LLC is a comprehensive wealth advisory firm offering investment management and financial planning services to individuals, families and institutions. Our mission is to simplify the complexities of wealth creation, preservation and intergenerational transfer. As a fee-based investment advisory firm, our interests are directly aligned with those of our clients in an environment of trust, transparency and confidentiality. We exist because of our clients and therefore are dedicated to helping them achieve their goals.

General Information

Gender:

Male

CRD#:

147082

Firm CRD#:

147082

Insurance License#:

1770973

States Licensed in:

All

States Willing to do Business in:

All

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

American Express Financial Advisors (subsequently Ameriprise Financial), 2002-2008

I work with the following types of clients:

Businesses, Non-Profit Organizations, Individual Investors

Education

Academic Background

Boston College, Carroll School of Management, Bachelor of Science, Finance, 2002

Services

Investment Types:

Mutual Funds, Bonds, Stocks, Exchange Traded Funds (ETFs), Alternative Investments, Options & Futures, FOREX & Currency, Commodities, Insurance, Annuities, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant

Securities Licenses:

Series 66, Series 7

Insurance and Annuity Licenses:

Disability, Long Term Care, Accident, Life, Annuity

Financial Organization Memberships:

Financial Planning Association (FPA), Paladin Registry

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

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-only financial professional:

Yes

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$100,000

Compensation Methods:

Hourly, Based on Assets, Flat Fee

Prepared By:

Peter V. Disch, CFP®