Business Description

As independent professional advisors, we can offer you a personalized financial strategy, not a generic investment program. Your individual portfolio will be based on your unique situation, your attitudes, preferences and goals. It will be designed to account for change, both in the market and in your circumstances, so that it can work with you and for you at every stage of your life.

Our approach to investing is straightforward: we focus on becoming your partner in building the future you desire. As we work together, our advisors will thoroughly explain the investment strategies recommended, so that you'll be fully comfortable with all aspects of your investment program. Every decision we make will be focused on achieving the results you want. Our mission is to help our clients achieve financial independence through professional advice, sound risk management, quality investment products, and personal, efficient service.

General Information

Gender:

Male

CRD#:

5133775

States Licensed in:

NM, CA, NY, TN, MT, OK, OR

Years of Experience in Financial Services:

Number of Years with Current Firm:

Services

Investment Types:

Alternative Investments, Exchange Traded Funds (ETFs), Bonds, Stocks, Annuities, Mutual Funds, Options & Futures, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant

Securities Licenses:

Series 66, Series 63, Series 7

Insurance and Annuity Licenses:

Annuity, Variable Life, Long Term Care, Variable Annuity, Health, Life

Firm Information

Number of Advisors in Office:

Up to 10 employees

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:

Carl Benanty CFP®