| Advisor Profile |
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Business Description |
At Wunderlich Securities, our goal is to coordinate a comprehensive process of investment, financial and estate planning to help you achieve your financial goals.
Our financial advisors will help you navigate the complex investment environment by tailoring solutions that are unique to you. We then become your trusted advisor for the long term – staying with you through all of life’s changes. |
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General Information |
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| States Licensed in: |
TN, AR, MS, KY, FL, CO, CA, AL, GA, LA
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| States Willing to do Business in: |
TN, AR, MS, KY, FL, CO, CA, AL, GA, LA, NC, SC, VA, NY
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| Years of Experience in Financial Services: |
10
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| Number of Years with Current Firm: |
1
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| Work Experience: |
Financial Services, Investment Management 1999-present. Employers Wunderlich Securities, UBS Financial Services, Wachovia Securities
Michelin Tire Corporation 1989 - 1999
U.S. Army 1984 - 1989
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| I work with the following types of clients: |
Non-Profit Organizations, Businesses, TRUSTS, Individual Investors
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Education |
| Academic Background |
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| Graduated United States Military Academy - West Point, NY B.S. Engineering, 1984 |
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Services |
| Investment Types: |
Annuities, Alternative Investments, Options & Futures, Mutual Funds, Commodities, Insurance, Stocks, Bonds, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Securities Licenses: |
Series 65, Series 7, Series 66
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| Insurance and Annuity Licenses: |
Life, Variable Life, Variable Annuity, 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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Compliance |
| Registered Investment Advisor: |
Yes
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| 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: |
$50,000
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| Compensation Methods: |
Commissions, Based on Assets
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| Prepared By: |
Robert Stokes |
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