| Advisor Profile |
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| Disclaimer |
| Advisory services offered through investment advisors, a devision of ProEquities,Inc. a Registered Broker Dealer, Member FINRA & SIPC. Asset Guardian LLC is independent of ProEquities, Inc. |
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Business Description |
We specialize in financial planning for retirees and those about to retire. We are here to educate and provide information to help you make the right decisions in an ever changing market. We help our clients avoid mistakes that can jeopardize their retirement savings.
In preparing for retirement it is important to asses risk along with efficiency when investing for income and potential growth.The most important element of retirement planning is TRUST. |
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General Information |
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| Insurance License#: |
894674
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| Name of Broker/Dealer: |
Proequities, Inc.
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| Years of Experience in Financial Services: |
25
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| Number of Years with Current Firm: |
10
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| I work with the following types of clients: |
Businesses, Investment Clubs, Individual Investors
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Services |
| Investment Types: |
Insurance, Mutual Funds, Exchange Traded Funds (ETFs), Annuities, Bonds, Stocks
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Life Underwriter Training Council Fellow (LUTCF)
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| Securities Licenses: |
Series 7, Series 6, Series 63, Series 65, Series 66
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| Insurance and Annuity Licenses: |
Variable Life, Long Term Care, Variable Annuity, Disability, Property, Life, Casualty, Accident, Annuity, Health, HMO
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| Financial Organization Memberships: |
National Association of Insurance and Financial Advisors (NAIFA)
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| Advisor's Number of Clients: |
500+
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| Advisor's Number of Managed Clients: |
500+
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| Advisor's Number of Planning Clients: |
500+
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| Assets Managed by Advisor: |
$150,000,000+
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Compliance |
| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$250,000
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| Compensation Methods: |
Based on Assets
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| Fee % Based on Assets: |
1%
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| Prepared By: |
Frank Cannon |
Frequently Asked Questions |
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