| Advisor Profile |
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Business Description |
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General Information |
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| Insurance License#: |
506181
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| Name of Broker/Dealer: |
New York Life
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| Name of Custodial Firm: |
New York Life
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| States Licensed in: |
PA, NJ, NC.
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| States Willing to do Business in: |
as many as necessary
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| Years of Experience in Financial Services: |
22
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| Number of Years with Current Firm: |
2
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| Work Experience: |
Well rounded financial Professional
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| I work with the following types of clients: |
Businesses, Investment Clubs, Non-Profit Organizations, Individual Investors
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Education |
| Academic Background |
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B.S.- Fordham University
M.A.- N.Y.U.
M.B.A.- Penn State University |
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Services |
| Investment Types: |
Options & Futures, Mutual Funds, Commodities, Insurance, Annuities, Stocks, Bonds, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Alternative Investments
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Qualifications & Memberships |
| Securities Licenses: |
Series 7, Series 66
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| Insurance and Annuity Licenses: |
Disability, Life, Variable Annuity, Annuity, Variable Life, Long Term Care
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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: |
35
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| Firm's Number of Planning Clients: |
7
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| Firm's Number of Managed Clients: |
3
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| Assets Managed by Firm: |
1,575,000
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| Advisor's Number of Clients: |
35
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| Advisor's Number of Managed Clients: |
7
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| Advisor's Number of Planning Clients: |
3
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| Assets Managed by Advisor: |
1,575,000
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Compliance |
| Registered Investment Advisor: |
Yes
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| Registered 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 commission only financial professional
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| Minimum Portfolio Size for New Managed Accounts: |
50,000.00
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| Compensation Methods: |
Commissions, Based on Assets
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| Fee % Based on Assets: |
N/A
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| Additional Details on Charges: |
Fees and charges depends on investors preference.
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| Minimum Fee Charged for Managed Accounts: |
0
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| Minimum Fee Charged for Hourly Planning Accounts: |
0
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| Minimum Fee Charged for Flat Fee Accounts: |
0
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| Prepared By: |
John Kofskie |
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