| Advisor Profile |
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| Research This Advisor |
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Disclosure Link:
www.financialfarmer.com
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| Request More Information |
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| Disclaimer |
| Was RIA for '95-2005 and current inactive to run all the compliance through QA3 back office as IAR. |
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Business Description |
| Focused skills for highly successful business owners that have advisors but would like a second opinion on their ability to serve. Specialize in exit planning, tax strategies and estate planning. |
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General Information |
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| Insurance License#: |
A263977
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| Name of Broker/Dealer: |
QA3 Financial
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| Name of Custodial Firm: |
Pershing
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| States Licensed in: |
FL, GA, NC, VA, CT, CA, TX
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| States Willing to do Business in: |
FL, GA, AL, NC, SC, VA, IN, IL, CT, TX, CA, AZ
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| Years of Experience in Financial Services: |
22
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| Number of Years with Current Firm: |
14
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| Work Experience: |
Focused on helping successful business owners get more more to their family, heirs and themselves. Also support successful charities that have ability and desire to reach out and talk about non-liquid assets of donors.
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| I work with the following types of clients: |
Businesses, Individual Investors
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Education |
| Academic Background |
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| B.S. degree UCF in Business Admin |
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Services |
| Investment Types: |
Stocks, Alternative Investments, Exchange Traded Funds (ETFs), Mutual Funds, Bonds, Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CAPP, Chartered Financial Consultant (ChFC®)
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| Securities Licenses: |
Series 24, Series 63, Series 7
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| Insurance and Annuity Licenses: |
Variable Annuity, Long Term Care, Variable Life, Disability, Accident, Annuity, Health, Life, HMO
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| Financial Organization Memberships: |
see non financial
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| Non-Financial Organization Memberships: |
Advisors Forum formerlly Wealth Advisors Institute, Asset Protection Society, TICA, Cifcar
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| I work with clients as part of a team: |
Yes
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| Firm's Number of Clients: |
100+
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| Firm's Number of Planning Clients: |
25
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| Firm's Number of Managed Clients: |
20
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| Assets Managed by Firm: |
$50 million+
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| Advisor's Number of Clients: |
50
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| Advisor's Number of Managed Clients: |
20
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| Advisor's Number of Planning Clients: |
25
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| Assets Managed by Advisor: |
$50 million+
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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 |
| Fee Structure: |
I am a fee-based financial professional
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| Minimum Portfolio Size for New Managed Accounts: |
$1000000
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| Compensation Methods: |
Based on Assets, Hourly, Flat Fee, Subscriptions
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| Fee % Based on Assets: |
1%
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| Additional Details on Charges: |
Provide a short Value Proposition Letter for planning clients. Free discovery when prospects provide BIG info- Balance Sheet, Income (tax return)and Goals.
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| Minimum Fee Charged for Managed Accounts: |
$5000
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| Minimum Fee Charged for Hourly Planning Accounts: |
$5000
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| Minimum Fee Charged for Flat Fee Accounts: |
$5000
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| Prepared By: |
Scott Thomas |
Frequently Asked Questions |
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