Business Description

Work with individuals, executives and closely-held businesses with regards to their wealth management strategies. My focus is on retirement planning and "risk management." I'm a CERTIFIED FINANCIAL PLANNER ™ professional and perform many of the investment planning functions for each....depending on the engagement the client's needs/desires. For example, with a closely-held business we will look to see if a profit sharing plan or 401(k) is best for them and/or employees.

My main focus is on the client and building a strong relationship. We set goals and try to achieve them understanding that the economy and portfolio are living, breathing entities. I can recommend either fee-based or commission based approaches for my clients.
SPECIALITIES:

Estate & Trust Services consulting, Business Services consulting, corporate executives, stock option & rule 144. Rollover 401(k)s, retirement planning, family-foundations, non-pofit foundations; aircraft financing, risk management and wealth building. Products include: Tax-free bonds, CDs, ETF's, Large Cap Stocks, Closed-ended, Open-ended.

General Information

Gender:

Male

CRD#:

2566773

Firm CRD#:

11025

Name of Broker/Dealer:

Wells Fargo Advisors Financial Network, LLC

States Licensed in:

AZ, CA, OR, WA, NV, TX, CO, MA, VA, OH, IL, MI, CT.

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Athletes, Businesses, Individual Investors

Education

Academic Background

BSBA 1985 Finance & Banking - University or Missouri - Columbia
MBA 1988 Finance - Northeastern Unversity
CFP®

Services

Investment Types:

Fee Based Accounts, Exchange Traded Funds (ETFs), Alternative Investments, Bonds, Stocks, Annuities, Insurance, Mutual Funds, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, MBA

Securities Licenses:

Series 31, Series 7, Series 9, Series 10, Series 63, Series 66

Insurance and Annuity Licenses:

Variable Annuity, Long Term Care, Variable Life, Annuity, Life

Financial Organization Memberships:

CFP®

Non-Financial Organization Memberships:

SABR - Member
Seamheads.com
Board Member Youth Baseball Development, Inc.

Firm Information

Number of Advisors in Office:

Up to 10 employees

Compliance

Registered Investment Advisor:

Yes

Registered Representative:

Yes

Investment Advisor Representative:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

Fee Structure:

I am a fee-based financial professional

Minimum Portfolio Size for New Managed Accounts:

$50,000

Compensation Methods:

Flat Fee, Commissions, Based on Assets

Additional Details on Charges:

Whether an individual or business owner every new client can decide on the best way for compensation based upon their current situation.

Prepared By:

Matthew Tarini, CFP®, MBA