Business Description

Personal financial planning for investments, retirement, education funding, tax management strategies, wealth preservation strategies and estste planning strategies.

I work with clients to design a personal financial plan around their life goals.

General Information

Gender:

Male

CRD#:

2549639

Firm CRD#:

6363

Insurance License#:

0B45292

Name of Broker/Dealer:

Ameriprise Financial

Name of Custodial Firm:

Ameriprise Financial

States Licensed in:

CA, IL, FL, NV, CO, WA, IN, SD, TX, TN

States Willing to do Business in:

Any

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

I have been with Ameriprise Financial for 15 years as a Senior Financial Advisor and Certified Financial Planner.

I work with the following types of clients:

Businesses, Individual Investors, Non-Profit Organizations, Investment Clubs

Education

Academic Background

UCSB - Under-grad
Pepperdine - MBA
College of Financial Planning - CFP

Services

Investment Types:

Bonds, Alternative Investments, Mutual Funds, Insurance, Annuities, Stocks, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant

Securities Licenses:

Series 7, Series 6

Insurance and Annuity Licenses:

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

Financial Organization Memberships:

Million Dollar Roundtable, Financial Planning Association (FPA)

Non-Financial Organization Memberships:

Balboa Yacht Club.
Pacific Business Exchange.

Firm Information

Number of Advisors in Office:

10 - 99 employees

Firm's Number of Clients:

2000000

Assets Managed by Firm:

400b

Advisor's Number of Clients:

120

Advisor's Number of Managed Clients:

Advisor's Number of Planning Clients:

Assets Managed by Advisor:

45000000

Compliance

Registered Investment Advisor:

Yes

Registered Representative:

Yes

Investment Advisor 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-only financial professional:

Yes

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

100000

Compensation Methods:

Hourly, Flat Fee, Based on Assets

Fee % Based on Assets:

.5 - 1.5%

Hourly Rate:

450

Flat Fee Rate:

1250

Prepared By:

Scott Schubert