| Advisor Profile |
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Business Description |
| With over 30 years of experience, I specialize in customized solutions for financial established individuals who are usually closely held business owners. As your "Financial Maestro", I come to know the "score" and bring together all the players and instruments available to bring harmony to your financial plan. In the process, I eliminate all the "gaps" which can have large price tags. |
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General Information |
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| Name of Broker/Dealer: |
Prospera Financial Services
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| Name of Custodial Firm: |
First Clearing
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| States Licensed in: |
Missouri, Illinois, New Jersey, California, Florida, New Mexico
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| States Willing to do Business in: |
As above
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| Years of Experience in Financial Services: |
33
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| Number of Years with Current Firm: |
3
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| Work Experience: |
Entire career has been focused on business owners or established individuals with complex problems involving estate, business, retirement and investment objectives.
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| I work with the following types of clients: |
Businesses, Established individuals with portfolios over $1M
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Education |
| Academic Background |
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| Bachelor's degree from Illinois Institute of Technology; Masters in Business from University of Chicago. Multiple advanced industry designations. |
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Services |
| Investment Types: |
Annuities, Stocks, Bonds, Exchange Traded Funds (ETFs), Alternative Investments, Commodities, Mutual Funds, Insurance
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Chartered Life Underwriter (CLU®), MBA from University of Chicago, Masters in Financial Services (MSFS), Certified Divorce Financial Analyst(CDFA), Chartered Financial Consultant (ChFC®)
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| Securities Licenses: |
Series 65, Series 66, Series 24, Series 1 Principal, Series 63
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| Insurance and Annuity Licenses: |
Variable Life, Long Term Care, Variable Annuity, Disability, Life, Health, Accident
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| Financial Organization Memberships: |
Financial Planning Association (FPA), Estate Planning Council
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| Non-Financial Organization Memberships: |
Board member of Wild Canid 501c3 organization in St. Louis, Mo and St. Louis Woman's Club member.
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| Advisor's Number of Clients: |
40
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| Advisor's Number of Managed Clients: |
30
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| Advisor's Number of Planning Clients: |
40
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Compliance |
| Registered Representative: |
Yes
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| Investment Advisor Representative: |
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: |
$1000000
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| Compensation Methods: |
Based on Assets, Commissions, Flat Fee
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| Prepared By: |
Joann MacKenzie |
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