Business Description

We are an independent, fee-based, investment advisory firm. Our clients include both individuals and institutions. Our approach includes the use of multiple investment strategies in order to maximize returns while limiting risk through an investment cycle. We also develop and implement 401k and other retirement plans for small and mid-sized businesses.

General Information

Gender:

Male

CRD#:

129788

Firm CRD#:

129788

Insurance License#:

LA605121

Name of Custodial Firm:

Charles Schwab

States Licensed in:

NY, CT, NJ, FL, AZ, NC

States Willing to do Business in:

All States

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

Have worked in Financial Services since 1973.

I work with the following types of clients:

Businesses, Individual Investors

Foreign Languages Serviced:

English

Education

Academic Background

BBA Pace College 1971, The American College 1978 (CLU), The American College 1983 (ChFC).

Services

Investment Types:

Stocks, Alternative Investments, Exchange Traded Funds (ETFs), Bonds, Annuities, Insurance, Commodities, FOREX & Currency, Mutual Funds, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

Chartered Financial Consultant (ChFC®), Chartered Life Underwriter (CLU®)

Securities Licenses:

Series 65

Insurance and Annuity Licenses:

Variable Annuity, Long Term Care, Variable Life, Disability, Property, Casualty, Accident, Annuity, Health, Life, HMO

Financial Organization Memberships:

Paladin Registry

Non-Financial Organization Memberships:

Member of Timer Trac Broadcast.Timer Trac verifies investment performance of active traders.

Firm Information

Number of Advisors in Office:

Up to 10 employees

Firm's Number of Clients:

150

Assets Managed by Firm:

$50,000,000

Compliance

Registered Investment Advisor:

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:

Flat Fee, Based on Assets, Hourly

Fee % Based on Assets:

1.25%

Additional Details on Charges:

We have several different levels of service available to fit an individual's needs.

Prepared By:

William Martone