| Advisor Profile |
|
 |
| Research This Advisor |
|
|
| Request More Information |
|
|
|
|
|
|
Business Description |
Investments, taxes, insurance, estate planning: the list of financial concerns and considerations facing you today is seemingly endless. And there are no easy answers.
I am in the business of helping my clients meet all their financial challenges. I do this by using a total wealth management approach. Each area is important individually, but managing them all collectively is one of the most important considerations in your overall financial success.
My approach can help you invest conservatively, reduce your exposure to taxes, address your insurance needs and provide a plan to transfer your wealth to your children and grandchildren.
Securities, advisory services, and asset management offered through LPL Financial, Member FINRA/SIPC
The LPL Financial registered representative associated with this page may only discuss and/or transact business with residents of the following states: Arizona, Indiana |
|
| |
|
|
General Information |
|
|
|
|
| Insurance License#: |
894743
|
|
| Name of Broker/Dealer: |
LPL Financial
|
|
| States Licensed in: |
AZ, IN
|
|
| States Willing to do Business in: |
All States
|
|
| Years of Experience in Financial Services: |
5
|
|
| Number of Years with Current Firm: |
3
|
|
| Work Experience: |
After 13 years in a corporate position here in Tucson, I decided to pursue my passion in finance. My life experiences are far and wide and provide a solid basis from which to advise my clients in their financial affairs.
|
|
| I work with the following types of clients: |
Businesses, Individual Investors
|
|
| |
|
Education |
| Academic Background |
| |
BS, Rose Hulman Institute of Technology, 1993
MS, University of Southern California, 1997
MBA, University of Arizona, 2001 |
|
| |
|
Services |
| Investment Types: |
Mutual Funds, Commodities, Exchange Traded Funds (ETFs), Annuities, Stocks, Bonds, Alternative Investments, Insurance, Socially Responsible Investments (SRI)
|
|
| |
|
Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CERTIFIED FINANCIAL PLANNER™ Certificant
|
|
| Securities Licenses: |
Series 66, Series 7
|
|
| Insurance and Annuity Licenses: |
Variable Life, Variable Annuity, Disability, Long Term Care, Life, Health, Annuity
|
|
| |
|
Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
|
|
| I work with clients as part of a team: |
Yes
|
|
| |
|
Compliance |
| 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 |
| Fee Structure: |
I am a fee-based financial professional
|
|
| Minimum Portfolio Size for New Managed Accounts: |
$100,000
|
|
| Compensation Methods: |
Based on Assets, Commissions
|
|
| |
|
| |
| |
| Prepared By: |
Eric Mattingly, CFP®, MBA |
Frequently Asked Questions |
|
| Q. |
What are your qualifications? What is your education background? |
| |
I have a bachelor's degree and two graduate degrees. As a CERTIFIED FINANCIAL PLANNER™, I am held to high ethical standards and have demonstrated the competence to assist my clients in all their financial planning needs. A CFP® practitioner adheres to certain practice standards which assure clients that they are receiving professional financial advice based on the recognized norms of the industry. |
|
| Q. |
What is your approach to financial planning? |
| |
I seek a lasting relationship with my clients that is founded on increasing trust that I will always act in their best interests. I invest my client's assets in a manner which is consistent with their risk tolerance, time horizon, and purpose for those assets. |
|
| Q. |
What services do you offer? |
| |
Fee-based asset management, retirement income planning, estate planning, long term care planning, life insurance planning. |
|
| Q. |
How many clients do you currently manage? |
| |
Our firm has approximately 150 clients. |
|
| Q. |
Will you be the only person working with me? |
| |
No, we work in a team environment with a well-trained staff. |
|
| Q. |
How are you compensated? How will I pay for your services? |
| |
My compensation depends on my clients needs. I am predominantly a fee-based investment advisor, but I will utilize commission-based financial strategies when necessary to address my client's goals. |
|
| Q. |
How much risk should I be willing to take? |
| |
Every situation is unique and I would need to get to know you and your situation prior to recommending any investment. |
|
| Q. |
Have you ever been charged with any breaches? |
|
| Q. |
Do you provide a free initial consultation? |
|
|
|
