| Advisor Profile |
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| Name: |
Gregory L. Bruno, CFP® |
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| Disclaimer |
| Securities Offered Through Ausdal Financial Partners Member FINRA-SIPC |
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Business Description |
| We take "Creating and Preserving Wealth" seriously. 30 years of professional trading experience gives me the tools and confidence necessary to navigate today's markets. I use active portfolio risk management tools that seek to avoid significant losses in portfolio values during market declines and still participate in the majority of an advance in rising markets. I take a holistic approach in consulting with clients on other financial issues. In depth discussions with clients are designed to help me understand their goals and dreams in order to deliver useful high value solutions. It is my goal to have a life long and mutually rewarding relationship with every client. |
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General Information |
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| Insurance License#: |
Social Security Number
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| Name of Broker/Dealer: |
Ausdal Financial
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| Name of Custodial Firm: |
TD Ameritrade
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| States Licensed in: |
IL, FL, TN, NY
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| States Willing to do Business in: |
All States
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| Years of Experience in Financial Services: |
10+
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| Number of Years with Current Firm: |
2+
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| Work Experience: |
2005-2007 President Greatstar Financial. 2002-2005 President RHM, Inc.
1983-2002 President GB Trading and Risk Management.
1985-2002 Member Chicago Mercantile Exchange, World's Largest Commodity and Futures Exchange.
1993-1995 Mutual Fund Portfolio Manager for Countdown Funds.
1982-1985 Member New York Stock Exchange-Futures Division.
1980-1983 Seligman Securities, Institutional Research & Trading.
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| I work with the following types of clients: |
Non-Profit Organizations, Businesses, Investment Clubs, Individual Investors
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Education |
| Academic Background |
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BS, Finance - State University of New York at Albany
Financial Planning - Boston College |
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Services |
| Investment Types: |
Insurance, Annuities, Mutual Funds, Stocks, Alternative Investments, Bonds, Exchange Traded Funds (ETFs)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CERTIFIED FINANCIAL PLANNER™ Certificant
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| Securities Licenses: |
Series 63, Series 7, Series 65
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| Insurance and Annuity Licenses: |
Health, Annuity, Disability, Long Term Care, Life, Variable Annuity
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| Non-Financial Organization Memberships: |
Chamber of Commerce, Community Christian Church
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| I work with clients as part of a team: |
Yes
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| Firm's Number of Clients: |
200+
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| Firm's Number of Planning Clients: |
200+
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| Firm's Number of Managed Clients: |
200+
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| Assets Managed by Firm: |
$50,000,000+
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| Advisor's Number of Clients: |
20+
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| Advisor's Number of Managed Clients: |
20+
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| Advisor's Number of Planning Clients: |
20+
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| Assets Managed by Advisor: |
$5,000,000+
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Compliance |
| Registered Investment Advisor: |
Yes
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| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| I am an acknowledged fiduciary: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| Fee Structure: |
I am a fee-based financial professional
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| Minimum Portfolio Size for New Managed Accounts: |
$150,000
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| Compensation Methods: |
Hourly, Flat Fee, Commissions, Based on Assets
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| Fee % Based on Assets: |
1.0%-1.75%
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| Additional Details on Charges: |
Advisory fees for Portfolio Management vary based on assets under management and whether portfolio is equity or bond focused. Hourly and flat fees apply to consulting and financial planning engagements.
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| Prepared By: |
Gregory L. Bruno, CFP® |
Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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A full or partial refund will be given if client is not fully satisfied with the financial planning advice. A pro rata portion of investment advisory fees are refunded when an investment advisory account is closed. |
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What are your qualifications? What is your education background? |
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Professional Designations: CERTIFIED FINANCIAL PLANNER CFP. |
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What services do you offer? |
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Active investment management. Investment work is nearly all in advisory accounts. Financial planning advice is also provided in areas such as investments, insurance, estate planning, retirement planning, college funding... |
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How many clients do you currently manage? |
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M. Brown & Associates has 150+ active clients. |
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Will you be the only person working with me? |
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Yes with respect to portfolio management and advice. |
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How are you compensated? How will I pay for your services? |
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Investment management is based on advisory fees that vary depending upon the amount of assets being managed. Financial Plans are priced based upon complexity and vary. |
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| Q. |
If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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All advisory accounts are managed on a discretionary basis. |
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| Q. |
Do you offer any guaranteed results? |
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No, it is illegal and unethical to guarantee investment returns. |
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Have you ever been charged with any breaches? |
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