Business Description

As an Ameriprise financial advisor, I believe success should be measured not just by your financial well-being, but by how confident you feel about your future. My mission is to help you reach your financial goals through a personal relationship, using my years of experience in wealth preservaton with endowments and foundations.

General Information

Gender:

Male

CRD#:

4193087

Firm CRD#:

6363

States Licensed in:

IL,GA,KS,IN,OH,PA,KY,MI

States Willing to do Business in:

MO,FLA,SC,NC

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

American Express Financial Advisors,2000-2005
Ameriprise Financial Advisors, 2005-present
Jewish Federation of Cincinati CEO, 1985-1999

I work with the following types of clients:

Non-Profit Organizations, Individual Investors

Education

Academic Background

MSW- Washington University
BA -Asian Studies, University of Missouri-ST. Louis,MO

Services

Investment Types:

Annuities, Insurance, Mutual Funds, FOREX & Currency, financial and estate planning, Bonds, Exchange Traded Funds (ETFs)

Qualifications & Memberships

Securities Licenses:

Series 7, Series 66

Insurance and Annuity Licenses:

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

Non-Financial Organization Memberships:

Board Chair- RHC- Resident Home Corporation of Cincinnati

Board Member- Executive Service Corps-Cincinnati, Ohio

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Advisor's Number of Clients:

280

Advisor's Number of Managed Clients:

120

Advisor's Number of Planning Clients:

Compliance

Registered Representative:

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

Fee Structure:

I am a fee-based financial professional

Minimum Portfolio Size for New Managed Accounts:

$100,000

Compensation Methods:

Based on Assets, Flat Fee

Additional Details on Charges:

Fees are negotiable depending on individual situation

Asset Based Fees are based on individual situation

Prepared By:

Aubrey Herman