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, meet your insurance needs and provides a plan to successfully transfer your wealth to your children and grandchildren.
General Information Gender:    Male CRD#:    5343116 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:    3 Number of Years with Current Firm:    1 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. Furthermore, my training in finance from the University of Arizona established my knowledge base in the field of finance. I work with the following types of clients:    Businesses, Individual Investors
Education Academic Background   BSEE, Rose Hulman Institute of Technology, 1993 MSEE, University of Southern California, 1997 MBA, University of Arizona, 2001
Services Investment Types:    Exchange Traded Funds (ETFs), Mortgages & Real Estate, Alternative Investments, Stocks, FOREX & Currency, Mutual Funds, Commodities, Insurance, Annuities, Bonds, Options & Futures, Socially Responsible Investments (SRI)
Qualifications & Memberships Securities Licenses:    Series 66, Series 7 Insurance and Annuity Licenses:    Health, Disability, Variable Life, Long Term Care, Variable Annuity, Annuity, Life
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 I am a fee-based financial professional:    Yes Minimum Portfolio Size for New Managed Accounts:    $100,000 Compensation Methods:    Based on Assets, Commissions
Prepared By:	Eric Mattingly

Frequently Asked Questions

Q.	What are your qualifications? What is your education background?

Q.	What is your approach to financial planning?

Q.	What services do you offer?

Q.	How many clients do you currently manage?

Q.	Will you be the only person working with me?

Q.	How are you compensated? How will I pay for your services?

Q.	How much risk should I be willing to take?

Q.	Have you ever been charged with any breaches?

Q.	Do you provide a free initial consultation?

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Q.	What are your qualifications? What is your education background?
In addition to my bachelors degree, I have two graduate degrees. Specifically, my Masters degree in Business Administration has provided my knowledge base in the field of finance.

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. Depending on the financial instruments utilized, my compensation can be fee-based, commission-based, or a combination of both.

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 financial plan.

Q.	Have you ever been charged with any breaches?
No.

Q.	Do you provide a free initial consultation?
Yes.