I am an independent CERTIFIED FINANCIAL PLANNER™ professional and my practice is centered around comprehensive financial planning with a focus on retirement planning and investment management. I am also a Retirement Income Certified Professional® who is securities registered and licensed for life, health, disability, and long term care insurance. I am affiliated with LPL Financial, a leading independent financial services firm. Through comprehensive planning I work with my clients to review their financial position relative to their financial goals and develop a plan of action to help achieve those goals. I foster an ongoing relationship through regularly scheduled meetings to help keep their financial plan on track as their life situation and the economy and markets change.
LPL Financial is a national independent broker/dealer headquartered in San Diego, Boston, and Charlotte that supports its advisors with independent investment research, financial planning and insurance expertise.
General Information |
| Firm Start Year: | 1922 | |
| Insurance License#: | LA-1083766 |
| Name of Broker/Dealer: | LPL Financial, LLC |
| Name of Custodial Firm: | LPL Financial, LLC |
| States Licensed in: | NY, FL, GA, CA, NC, SC |
| Number of Years with Current Firm: | 15 |
| Work with the following types of clients: | Individual Investors, Businesses |
Services |
| Investment Types: | Mutual Funds, Insurance, Alternative Investments, Exchange Traded Funds (ETFs), Commodities, Annuities, Stocks, Bonds, Options & Futures, Socially Responsible Investments (SRI) |
| Can meet clients in the following ways: | Your Home, Our Office, Phone, Video Conference, Your Office |
Qualifications & Memberships |
| Insurance and Annuity Licenses: | Annuity, Health, Life, Disability, Variable Annuity, Long Term Care, Variable Life |
| Financial Organization Memberships: | Financial Planning Association (FPA) |
Compensation and Fees |
| Fee Structure: | Fee-Based |
| Minimum Portfolio Size for New Managed Accounts: | $50,000 |
| Compensation Methods: | Based on Assets, Flat Fee, Hourly, Commissions |
Education |
| BBA - Finance | James Madison University
- Harrisonburg, VA January 1981-August 1984 |
Disclosures |
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WiserAdvisor provides referrals to financial professionals of LPL Financial, LLC (LPL). WiserAdvisor is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay WiserAdvisor cash compensation for these referrals, which creates the incentive for WiserAdvisor to make these referrals, resulting in a conflict of interest. LPL ADV 2A https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf Additional Detailed Disclosures |
Registered Representative:
Yes
Investment Advisor Representative:
Yes
Acknowledged fiduciary:
Yes
Compliance Disclosures in Last 5 years:
Have a clean record
Criminal Disclosures in Last 5 years:
Have a clean record
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