Business Description
A full service financial firm specializing in investment and retirement planning for individuals as well as small business. Fully licensed in both securities and insurance, we are equipped to implement all areas of Investment Management, Retirement Planning, Estate Planning, and Insurance Planning as necessary to insure your financial success. Securities and advisory services offered through National Planning Corporation (NPC, Member NASD/SIPC, and a Registered Investment Adviser. David J. Vander Zwaag and NPC are separate and unrelated companies.
General Information Gender:    Male CRD#:    1913798 Firm CRD#:    29604 Insurance License#:    0650809 Name of Broker/Dealer:    National Planning Corporation Name of Custodial Firm:    Pershing Securities States Licensed in:    AP,CA,FL,ID,LA,NV,OH,UT,VA,WA,WI States Willing to do Business in:    AP,CA,FL,ID,LA,NV,OH,UT,VA,WA,WI Years of Experience in Financial Services:    21 Number of Years with Current Firm:    2 Work Experience:    I have been an independent financial advisor for over 20 years. Through personal and business relationships I have created a unique ability to apply personal planning catered to the individual needs of each client separately. I work with the following types of clients:    Businesses, Non-Profit Organizations, Individual Investors
Education Academic Background   A graduate of California State University at Pomona with a degree in Business Administration
Services Investment Types:    Exchange Traded Funds (ETFs), Insurance, Bonds, Stocks, Annuities, Mortgages & Real Estate, Alternative Investments, Mutual Funds, Socially Responsible Investments (SRI)
Qualifications & Memberships Certifications, Accreditations & Designations:    Certified Senior Advisor (CSA)®, Certified in Long-Term Care (CLTC) Securities Licenses:    Series 7, Series 24, Series 63, Series 6, Series 97 Insurance and Annuity Licenses:    Variable Annuity, Long Term Care, Variable Life, Disability, Annuity, Health, HMO, Life Financial Organization Memberships:    Financial Planning Association (FPA)
Firm Information Number of Advisors in Office:    Up to 10 employees Firm's Number of Clients:    400 Firm's Number of Planning Clients:    250 Firm's Number of Managed Clients:    100 Assets Managed by Firm:    $50 million Advisor's Number of Clients:    400 Advisor's Number of Managed Clients:    100 Advisor's Number of Planning Clients:    250 Assets Managed by Advisor:    $50 million
Compliance Registered Representative:    Yes Investment Advisor Representative:    Yes 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:    $50,000 Compensation Methods:    Flat Fee, Commissions, Based on Assets, Hourly Fee % Based on Assets:    1-2%
Prepared By:	David Vander Zwaag

Frequently Asked Questions

Q.	What are your qualifications? What is your education background?

Q.	What is your approach to financial planning?

Q.	What services do you offer?

Q.	What financial institution(s) do you represent?

Q.	Do you provide a free initial consultation?

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Q.	What are your qualifications? What is your education background?
With over 25 years as an Independent Financial Planner, I have created a clientele based on quality of service and individual needs-planning for each client. I am a graduate of the University of California at Pomona with a Bachelors Degree in Business Administration.

Q.	What is your approach to financial planning?
Quality financial planning requires the planner knowing a client, gathering data to analyze the goals, and creating a plan to solve the issues that "keep you up at night!"

Q.	What services do you offer?
Financial Plan preparation, Retirement Planning issues, Tax Planning, Investment recommendations for stocks, bonds, mutual funds, annuities, as well as Life or Medical Insurance.

Q.	What financial institution(s) do you represent?
As an Independent Financial Planning Office, we are able to represent most any non-propriatary investment institution needed to meet individual planning issues for client.

Q.	Do you provide a free initial consultation?
Yes, the initial consultation is merely to see 'if' your needs and goals can be filled through our services and is therefore a 'no fee' meeting.