Business Description

As a Financial Consultant for over 13 years, I have developed a strong background in asset allocation, portfolio design, and retirement income distribution.

Janney is a full-service firm with solid resources. I treat every client as a long-term investor who wants a long-term advisor.

I work on commissions and/or fees, whatever format best suits you and your needs.

General Information

Gender:

Male

CRD#:

2873121

Name of Broker/Dealer:

Janney Montgomery Scott

States Licensed in:

Virginia, Georgia, South Carolina

States Willing to do Business in:

All states

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

Advisor on all varieties of accounts, retirement plans, trusts, estates, stock and bond portfolios on a commission and/or fee-basis.

I work with the following types of clients:

Businesses, Individual Investors, Non-Profit Organizations

Education

Academic Background

BA in English, Hampden-Sydney College
MS in Comminications, VCU

Services

Investment Types:

Exchange Traded Funds (ETFs), Bonds, Stocks, Annuities, Insurance, Mutual Funds, Alternative Investments

Qualifications & Memberships

Securities Licenses:

Series 7, Series 63, Series 65

Insurance and Annuity Licenses:

Annuity, Variable Annuity, Variable Life, Long Term Care, Life

Non-Financial Organization Memberships:

Local non-profits.

Firm Information

Number of Advisors in Office:

Up to 10 employees

Advisor's Number of Clients:

150

Compliance

Registered Investment Advisor:

Yes

Registered Representative:

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

Fee Structure:

I am a fee-based financial professional

Minimum Portfolio Size for New Managed Accounts:

50,000

Compensation Methods:

Based on Assets, Commissions

Fee % Based on Assets:

1 %

Prepared By:

John Maloney