Business Description

Provides custom advice to individual and corporate clients regarding investment strategy/selection, portfolio management, and long-term planning.

General Information

Gender:

Male

CRD#:

4577739

Firm CRD#:

142761

States Licensed in:

States Willing to do Business in:

NY, NJ, RI, MA, PA, NH, VT, ME, MD, DC, VA

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

Ernst & Young, LLP; Consulting 1993-1999 and 2003-2004
Adams, Harkness & Hill (now CanaccordAdams); Investment Banking 2000-2003
Resolute Partners, LLC; Chief Financial Officer 2004-2006
WJ Financial Advisors, LLC; Founder 2006-present

I work with the following types of clients:

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

Education

Academic Background

BS in Business Administration (Finance, Marketing & Int'l Business concentrations), minor in Theology, Georgetown University
MBA (Finance, Strategy, Entrepreneurship), Kellogg Graduate School of Management, Northwestern University

Services

Investment Types:

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

Qualifications & Memberships

Certifications, Accreditations & Designations:

Chartered Financial Analyst (CFA)

Securities Licenses:

Series 65

Firm Information

Number of Advisors in Office:

Up to 10 employees

Firm's Number of Clients:

Firm's Number of Planning Clients:

Firm's Number of Managed Clients:

Assets Managed by Firm:

$6.5M

Advisor's Number of Clients:

Advisor's Number of Managed Clients:

Advisor's Number of Planning Clients:

Assets Managed by Advisor:

$6.5M

Compliance

Registered Investment Advisor:

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-only financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

Compensation Methods:

Based on Assets

Fee % Based on Assets:

1.5%-0.65%

Additional Details on Charges:

flexible - varies by client

Minimum Fee Charged for Managed Accounts:

Minimum Fee Charged for Hourly Planning Accounts:

Minimum Fee Charged for Flat Fee Accounts:

Prepared By:

Wallace Jones