Business Description

General Information

Gender:

Female

CRD#:

1399900

Firm CRD#:

114390

Name of Broker/Dealer:

Securities America,, Inc.

Name of Custodial Firm:

National Financial Services, Inc.

States Licensed in:

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Individual Investors, Non-Profit Organizations

Services

Investment Types:

Exchange Traded Funds (ETFs), Bonds, Stocks, Annuities, Insurance, Mutual Funds, Alternative Investments, Mortgages & Real Estate

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant

Securities Licenses:

Series 63, Series 7, Series 65

Insurance and Annuity Licenses:

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

Financial Organization Memberships:

Financial Planning Association (FPA)

Non-Financial Organization Memberships:

President, Raue Theater for the Arts
Crystal Lake Chamber of Commerce

Firm Information

Number of Advisors in Office:

10 - 99 employees

I work with clients as part of a team:

Yes

Compliance

Registered Investment Advisor:

Yes

Registered Representative:

Yes

Investment Advisor 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

I am a fee-based financial professional:

Yes

Compensation Methods:

Based on Assets, Commissions, Flat Fee, Hourly

Prepared By:

Paula Dorion-Gray, CFP®