Business Description

Strategic planning, vision, and bold actions are as important today to help you achieve your goals as it was for Athena over 4000 years ago. Today it’s about securing your financial future and managing life’s risks. We believe that begins with a unique conversation – and it’s all about you. No matter what your goal, we are confident that victory is achieved with the right help and advice.

Athena is a unique professional services firm. We deliver comprehensive and integrated wealth and risk management advice. Our clients, like you, are individuals and business entities. With experienced professionals in five financial arenas, the collaboration at Athena allows you to recapture and protect one of your most valuable assets…your time.

General Information

Gender:

Male

CRD#:

4751474

Firm CRD#:

6413

Insurance License#:

340508752

Name of Broker/Dealer:

LPL Financial

Name of Custodial Firm:

LPL Financial

States Licensed in:

IL, WI, FL, TX, GA

States Willing to do Business in:

Any

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

24 Years Chicago Board of Trade Floor Broker
4 Years Edward Jones Investmnet Representative

I work with the following types of clients:

Businesses, Non-Profit Organizations, Individual Investors

Education

Academic Background

BA Political Science 1978 SIU- C

Services

Investment Types:

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

Qualifications & Memberships

Securities Licenses:

Series 66, Series 7, Series 24, Series 31, Series 63

Insurance and Annuity Licenses:

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

Non-Financial Organization Memberships:

Kiwanis, Optimist Club,

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Firm's Number of Clients:

400

Firm's Number of Planning Clients:

N/A

Firm's Number of Managed Clients:

400

Assets Managed by Firm:

$350,000,000

Advisor's Number of Clients:

Advisor's Number of Managed Clients:

Advisor's Number of Planning Clients:

N/A

Assets Managed by Advisor:

$20,000,000

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:

$250,000

Compensation Methods:

Based on Assets

Fee % Based on Assets:

.75%-1.5%

Hourly Rate:

N/A

Flat Fee Rate:

N/A

Additional Details on Charges:

Fee based accounts preferred. Scale based on AUM from .75% to 1.5%

Minimum Fee Charged for Managed Accounts:

N/A

Minimum Fee Charged for Hourly Planning Accounts:

N/A

Minimum Fee Charged for Flat Fee Accounts:

N/A

Prepared By:

Timothy Feldheim