Business Description

"A good plan vigorously executed right now is far better than a perfect plan executed next week." General George S. Patton Jr.

Do you have a plan for retirement? Do you have a plan to protect your investments from downturns in the market? Do you have a contingency plan in place to keep together what you've put together?

I am a knowledgeable and experienced financial planner who helps clients put together a coordinated plan so they can enjoy the fruits of their labor free of financial worry.

Andy is a Certified Financial Planner™ who is a Registered Representative of Securian Financial Services an affiliate of SGC Financial & Insurance Services. SGC Financial & Insurance Services is an organization of professionals who have a 60 year history of helping people meet their financial objectives. SGC Financial offers securities and investment advisory services through Securian Financial Services, a prominent financial services company dedicated to helping clients build and protect wealth. This association brings depth, stability and significant resources to my clients.

Many of my clients already have trusted long-term advisors - perhaps an attorney, CPA or both - who have done much of their planning work (wills, trusts, business agreements, retirement plans, etc.). My work supplements and coordinates the services these advisors provide. I also work closely with your advisors to ensure that the alternatives you choose complement any existing business, estate tax, insurance or investment strategies.

General Information

Gender:

Male

CRD#:

4143407

Insurance License#:

CA 0E70290

Name of Broker/Dealer:

Securian Financial Services Inc.

States Licensed in:

CA, WA, CO, FL, DC

States Willing to do Business in:

CA, WA, CO, FL, DC

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

After graduating from Santa Clara University with a BS in Finance in 2001, Andy worked as an operations manager with MV Transportation for three years providing mobility to the elderly and disabled in San Mateo and San Francisco counties.
In late 2004, he then decided to transition to fee-based financial planning to continue to enrich the lives of others and help them achieve financial independence and freedom from financial worry. In early 2008, Andy attained his Certified Financial Planner designation from the American College furthering his commitment to being one of the top financial professionals in the Bay Area. In late 2009, Andy became the sole Wealth Management Sponsor for the Entrepreneurs’ Organization - San Francisco chapter, providing financial education and planning resources to the top businesses in the Bay Area. Andy is also a member of the FPA (Financial Planning Association) whose members demonstrate a commitment to the highest standards of professional competence, ethical conduct and clear, complete disclosure for financial planning professionals.

I work with the following types of clients:

Businesses, Non-Profit Organizations, Individual Investors

Education

Academic Background

Santa Clara University - BS Finance

Services

Investment Types:

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

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant

Securities Licenses:

Series 66, Series 7

Insurance and Annuity Licenses:

Variable Life, Long Term Care, Variable Annuity, Disability, Life, Health, Annuity

Financial Organization Memberships:

Financial Planning Association (FPA)

Firm Information

Number of Advisors in Office:

10 - 99 employees

I work with clients as part of a team:

Yes

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:

500000

Compensation Methods:

Based on Assets, Commissions, Flat Fee

Prepared By:

Andy Roberson