Business Description

With increasingly complex and unpredictable financial markets and longer life expectancies, working with an investment professional is more important than ever.

General Information

Gender:

Male

CRD#:

2241844

Firm CRD#:

6413

Insurance License#:

80091

Name of Broker/Dealer:

LPL Financial

States Licensed in:

AZ, CA, CO, IA, MA, MI, MN, NV, NY, PA, TX, WA, WI, WY

States Willing to do Business in:

AZ, CA, CO, IA, MA, MI, MN, NV, NY, PA, TX, WA, WI, WY

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Individual Investors, Businesses

Education

Academic Background

BBA Southern Methodist University
MBA W.F. Olin Graduate School of Businss at Babson College

Services

Investment Types:

Annuities, Insurance, Mutual Funds, Alternative Investments, Bonds, Exchange Traded Funds (ETFs)

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, Chartered Mutual Fund Counselor (CMFC®), MBA, Chartered Retirement Planning Counselor (CRPC®)

Securities Licenses:

Series 66, Series 7, Series 24

Insurance and Annuity Licenses:

Variable Annuity, Life, 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

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

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$250,000

Compensation Methods:

Based on Assets, Commissions, Hourly

Prepared By:

David A. Gray CFP®, CRPC®