| Advisor Profile |
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| Name: |
Lucille Shaw |
| Phone Number: |
(760) 444-4538 |
| Website: |
Visit Website
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Business Description |
Finances for Life, LLC is an independent financial planning firm founded with you in mind, our only focus. We provide unbiased comprehensive financial planning and wealth management services to San Diego and North County Coastal families, medical professionals, business owners and retirees. We help create strategies designed to build and protect their assets while minimizing taxes and ensure their plan is in position for the unexpected so they may live confidently and further their legacy.
*Securities and advisory services offered through National Planning Corporation, Member FINRA/SIPC, A Registered Investment Advisor. Finances for Life, LLC and National Planning Corporation are separate and unrelated companies. |
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General Information |
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| Insurance License#: |
0C95345, 0G83980
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| Name of Broker/Dealer: |
National Planning Corporation
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| Name of Custodial Firm: |
Pershing, LLC
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| States Licensed in: |
CA, IL, ID, MD
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| States Willing to do Business in: |
any of the 50 states
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| Years of Experience in Financial Services: |
14
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| Number of Years with Current Firm: |
8
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| I work with the following types of clients: |
Individual Investors, Businesses
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Education |
| Academic Background |
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Bachelor of Science in Medical Laboratory Sciences - University Of Illinois
MBA - Keller Graduate School Of Management |
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Services |
| Investment Types: |
REITs, Annuities, Bonds, Stocks, Mutual Funds, Options & Futures, Alternative Investments, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Securities Licenses: |
Series 63, Series 6, Series 7, Series 66
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| Insurance and Annuity Licenses: |
Variable Annuity, Long Term Care, Disability, Annuity, Health, Life
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| Financial Organization Memberships: |
Financial Planning Association (FPA)
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| Non-Financial Organization Memberships: |
Toastmasters International,National Association of Professional Women
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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Compliance |
| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| I am an acknowledged fiduciary: |
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 |
| I am a fee-only financial professional: |
Yes
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| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$100,000
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| Compensation Methods: |
Based on Assets, Hourly, Flat Fee
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| Fee % Based on Assets: |
1-3%
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| Prepared By: |
Lucille Shaw |
Frequently Asked Questions |
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What services do you offer? |
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fee-only comprehensive financial planning and wealth management strategies. |
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How are you compensated? How will I pay for your services? |
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fee-only for financial consulting and financial planning. Flat Percentage of Asset under management. |
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If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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How much risk should I be willing to take? |
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This depends on your personal situation and tolerance for risk. We will determine this as part of the scope of our engagement. |
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Have you ever been charged with any breaches? |
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