Business Description

I offer professional services in Financial Planning, Estate Planning, Education Funding, Fee Based Financial Advice, Financial Consulting, and Brokerage.

My clients appreciate sound advice, honest discussions, and the peace of mind that a professional is carefully helping them achieve their dreams and goals. They are all serious about budgeting, saving, and investing as a practical method to get what they want out of life.

Investment strategies are designed around each investors situation. I believe in actively protecting the wealth my clients have built through preplanned selling points. I focus on proper risk assessments, realistic expectations, and priority based goals.

I let my clients choose the type of relationship & fee structure that works for them. I expect to be reasonably compensated for my expertise & time, and if ongoing services are requested fees as a percentage of assets is customary.

I also expect my clients to share the satisfaction of their success with others they may know who may benefit from a similar professional relationship.

General Information

Gender:

Male

CRD#:

5287587

Firm CRD#:

421

Name of Broker/Dealer:

Woodbury Financial Services

Name of Custodial Firm:

Pershing LLC sub of Bank of New York

States Licensed in:

MO, IL, IN

States Willing to do Business in:

All

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

Morgan Stanley & CO as broker - 1997 through 3Qtr 1998.

With UPS for 18 years prior in Management and Consulting - as a financial specialist.

I work with the following types of clients:

Non-Profit Organizations, Individual Investors, Businesses

Education

Academic Background

MBA St. Louis University - International Business
BSBA University of Missouri - Finance

Services

Investment Types:

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

Qualifications & Memberships

Certifications, Accreditations & Designations:

MBA

Securities Licenses:

Series 65, Series 7, Series 31

Insurance and Annuity Licenses:

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

Non-Financial Organization Memberships:

Boy Scouts of America - Adult Leadership Position

Firm Information

Number of Advisors in Office:

10 - 99 employees

I work with clients as part of a team:

Yes

Advisor's Number of Clients:

Advisor's Number of Managed Clients:

Advisor's Number of Planning Clients:

Assets Managed by Advisor:

$3,500,000

Compliance

Registered Investment Advisor:

Yes

Registered Representative:

Yes

Investment Advisor 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:

$100,000

Compensation Methods:

Hourly, Commissions, Based on Assets, Flat Fee, Subscriptions

Fee % Based on Assets:

1.5%

Hourly Rate:

$150

Flat Fee Rate:

$750

Additional Details on Charges:

Work with clients to determine the most cost effective method of serving them. They can choose the type of relationship that best suits them today and into the future.

Minimum Fee Charged for Managed Accounts:

$300

Minimum Fee Charged for Hourly Planning Accounts:

$500

Minimum Fee Charged for Flat Fee Accounts:

$250

Prepared By:

David Weis