| Advisor Profile |
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Business Description |
| We are a small firm specializing in investment management and retirement planning. We work extensively with public employees,educators,police as well as corporate professionals transitioning into retirement. |
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General Information |
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| Insurance License#: |
9834557
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| Name of Broker/Dealer: |
SII Investments, INC
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| Name of Custodial Firm: |
Pershing
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| States Licensed in: |
NJ,PA,FL,MI,NC,NY
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| States Willing to do Business in: |
NJ,PA,FL,MI,NC,NY,DE
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| Years of Experience in Financial Services: |
11
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| Number of Years with Current Firm: |
1
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| I work with the following types of clients: |
Businesses, Individual Investors
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Services |
| Investment Types: |
Mutual Funds, Insurance, Annuities, Stocks, Bonds, Alternative Investments, Exchange Traded Funds (ETFs)
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Qualifications & Memberships |
| Securities Licenses: |
Series 63, Series 7, Series 24
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| Insurance and Annuity Licenses: |
Health, Life, Annuity, Variable Annuity, Disability, Variable Life
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| Advisor's Number of Clients: |
185
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| Advisor's Number of Managed Clients: |
65
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| Advisor's Number of Planning Clients: |
65
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| Assets Managed by Advisor: |
$17,000,000
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Compliance |
| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| Fee Structure: |
I am a fee-based financial professional
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| Minimum Portfolio Size for New Managed Accounts: |
$50,000
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| Compensation Methods: |
Flat Fee, Hourly, Commissions, Based on Assets
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| Fee % Based on Assets: |
1.5
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| Prepared By: |
Rich Barnett |
Frequently Asked Questions |
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