| Advisor Profile |
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Business Description |
| My approach to retirement planning is very individualized. I take the time to listen to your goals, help you put a plan together, then work together with you to achieve them. I work together as part of an overall team of advisors. I specialize in Retirement and Estate Planning. I work throughout MA and CT. |
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General Information |
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| Insurance License#: |
1840950
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| Name of Broker/Dealer: |
New York Life Securities
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| States Licensed in: |
MA,CT
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| States Willing to do Business in: |
MA,CT
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| Years of Experience in Financial Services: |
12
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| Number of Years with Current Firm: |
3
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| I work with the following types of clients: |
Businesses, Non-Profit Organizations, Individual Investors
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Education |
| Academic Background |
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| The American College, LUTCF, ChFC. |
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Services |
| Investment Types: |
Insurance, Mutual Funds, Annuities, Alternative Investments, Stocks, Bonds
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Qualifications & Memberships |
| Securities Licenses: |
Series 63, Series 6
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| Insurance and Annuity Licenses: |
Disability, Variable Life, Long Term Care, Variable Annuity, Life, HMO, Health, Annuity, Accident
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| Financial Organization Memberships: |
Society of Financial Services Professionals, National Association of Insurance and Financial Advisors (NAIFA)
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Firm Information |
| Number of Advisors in Office: |
100 - 999 employees
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| I work with clients as part of a team: |
Yes
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| Firm's Number of Clients: |
10000
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| Firm's Number of Planning Clients: |
5000
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| Firm's Number of Managed Clients: |
5000
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| Assets Managed by Firm: |
$500000000
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| Advisor's Number of Clients: |
60
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| Advisor's Number of Managed Clients: |
30
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| Advisor's Number of Planning Clients: |
30
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| Assets Managed by Advisor: |
$1,000,000
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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 fee-based financial professional
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| Minimum Portfolio Size for New Managed Accounts: |
$150000
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| Compensation Methods: |
Hourly, Flat Fee, Commissions, Based on Assets
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| Minimum Fee Charged for Hourly Planning Accounts: |
$150
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| Minimum Fee Charged for Flat Fee Accounts: |
$1000
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| Prepared By: |
Stacy Adamuska |
Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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100% customer satisfaction. |
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What services do you provide? What are your specialties? |
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I specialize in Retirement Planning and Estate Planning. Those two fields encompass , Life Insurance, Long Term Care Ins, Disability Ins,retirement savings, college funding, annuities, mutual funds.It also means being part of an overall team of advisors. |
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What is your experience? How many clients do you currently manage? |
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I have 12 years experience in the financial services field. I have several clients that I do extensive planning for. |
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| Q. |
What financial institution(s) do you represent? |
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I represent a fortune 100 Company, but I also have access to several more if needed. |
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How do you charge for your services? |
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Fees, hourly, commission. |
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Do you provide a free initial consultation? |
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Why should I choose you as my financial advisor? |
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I will take the time to work with you in achieving your goals. I will review with you on a annual basis to make sure you are doing what you want to accomplish. |
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| Q. |
What are your qualifications? |
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I specialize in IRA's, which is what I usually roll a 401(k) into. |
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| Q. |
What is your approach to 401 K plan rollovers? |
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It all depends on what your plans are for the money. |
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How long does the process of rolling over a 401K plan usually take? |
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The process takes 3 to 6 weeks. |
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What financial institutions do you represent? |
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I represent a Fortune 100 Company, but have access to many more if needed. |
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| Q. |
How many years of experience do you have? |
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What are your fees for this service? |
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How many 401K rollover clients do you currently manage? |
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Why should I roll over my 401K plan to your firm? |
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Do you provide a free initial consultation? |
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