Andrew Chabot MBA, CFP®
Andrew Chabot, MBA, CFP®

Tel: (909) 935-5555

11810 Sebastian Way Suite 105
Rancho Cucamonga, CA 91730

Rancho Wealth Management

About Andrew Chabot, MBA, CFP®

15 Years of Experience

CRD# 4622383
Firm CRD# 6413
Insurance License# California Insurance License #0E70330
SEC File# SEC File#
Series: 6, 7, 24, 26, 63, 65

I am a local, independent, CERTIFIED FINANCIAL PLANNER and specialize in growing and more importantly preserving wealth for my clients. As a long-term investor, you are faced with a wide array of financial considerations. You may need to provide financial assistance for a child's college education or help support a loved one. In addition, you must prepare for your own retirement as well as consider what's to be done with your estate after you are gone. You are confronted with a growing number of investment and insurance products and services. Should you invest in mutual funds, annuities, individual securities, or a comprehensive asset management program. Add up all of these important considerations and your need for competent, objective financial guidance has never been greater. This is where I come in. I help you make better decisions.

General Information

Firm Start Year:		2010
No.of Employees:		2-4
Insurance License#:		California Insurance License #0E70330

States Licensed in:

CA, NV, AZ, NJ , PA

Work Experience:

Wells Fargo Bank Bank Of America Farmers Insurance Group CUSO Financial Services Altura Credit Union

I work with the following types of clients:

Individual Investors, Businesses, Non-Profit Organizations

Services

Investment Types:

Annuities, Insurance, Options & Futures, Stocks, Mutual Funds, Bonds, Alternative Investments, Commodities, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Socially Responsible Investments (SRI)

I can meet clients in the following ways:

Via phone, At your office, At your home, At my office

Qualifications & Memberships

Insurance and Annuity Licenses:

Variable Annuity, Variable Life, Property, Long Term Care, Life, HMO, Health, Accident, Disability, Casualty, Annuity

Financial Organization Memberships:

Financial Planning Association (FPA)

Non-Financial Organization Memberships:

Better Business Bureau. Rancho Cucamonga Chamber of Commerce

Firm Information

Firm's Number of Clients:

150

Firm's Number of Planning Clients:

150

Firm's Number of Managed Clients:

150

Advisor's Number of Clients:

200

Advisor's Number of Managed Clients:

200

Advisor's Number of Planning Clients:

200

Compliance

Registered Representative:

Yes

Investment Advisor Representative:

Yes

I am an acknowledged fiduciary:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation and Fees

Fee Structure:

Fee-Based (Fee and Commissions)

Compensation Methods:

Based on Assets, Hourly, Flat Fee, Commissions

Additional Details on Charges:

Percentage of Assets, Commission and/or hourly rate all agreed upon by both parties. No charge or obligation for initial consultation

Board Positions

Organization:

OliveCrest Foundation Riverside CA

Position :

Board Member, Fundraising Chair

Duration :

June 2013-Currently holding

Education

MBA - Business Administration

CSUSB
-

BA - Marketing

CSUSB
-

Faqs

Do you have a customer satisfaction or refund policy? Yes
What are your qualifications? What is your education background? MBA, CFP®, FINRA SERIES 6,7,24,26,63 and 65 Licenses through LPL Financial. California Property, Casualty, Life and Health Insurance License #0E70330. Completely Independent Registered Principal through LPL Financial one of the world's leading independent broker dealers. President of Chabot Wealth Management.
What is your approach to financial planning? I make complex issues simple for my clients and provide objective financial advise so my clients make better decisions with their money.
What services do you offer? Comprehensive Financial Planning Retirement Planning Business Consulting / Succession Planning Estate Planning College Planning Investment Planning Insurance Planning Comprehensive asset management accounts Mutual funds and ETF's Individual stocks and bonds Domestic and foreign securities Alternative investments Annuities Trust services FDIC-insured cash accounts
How many clients do you currently manage? 100

FAQs

Do you have a customer satisfaction or refund policy? Yes
What are your qualifications? What is your education background? MBA, CFP®, FINRA SERIES 6,7,24,26,63 and 65 Licenses through LPL Financial. California Property, Casualty, Life and Health Insurance License #0E70330. Completely Independent Registered Principal through LPL Financial one of the world's leading independent broker dealers. President of Chabot Wealth Management.
What is your approach to financial planning? I make complex issues simple for my clients and provide objective financial advise so my clients make better decisions with their money.
What services do you offer? Comprehensive Financial Planning Retirement Planning Business Consulting / Succession Planning Estate Planning College Planning Investment Planning Insurance Planning Comprehensive asset management accounts Mutual funds and ETF's Individual stocks and bonds Domestic and foreign securities Alternative investments Annuities Trust services FDIC-insured cash accounts
How many clients do you currently manage? 100
Will you be the only person working with me? Depending on complexity will include your CPA, Estate/Trust Lawyer and any other advisors you may currently use
How are you compensated? How will I pay for your services? Percentage of Assets, Commission and/or hourly rate all agreed upon by both parties. No charge or obligation for initial consultation
If you are going to manage my account, will you obtain my permission every time you buy or sell something? Yes
Do you offer any guaranteed results? Yes
How much risk should I be willing to take? as much as necessary to acheive your goals.
Have you ever been charged with any breaches? Never
What services do you provide? What are your specialties? Comprehensive Financial Planning Estate Planning College Planning Insurance Planning Comprehensive asset management accounts Mutual funds and ETF's Individual stocks and bonds Domestic and foreign securities Alternative investments REIT's, Fund of Hedge Funds, MLP's Annuities Fixed, Indexed and Variable Trust services FDIC-insured cash accounts
What is your experience? How many clients do you currently manage? I have been in the financial services industry for over 15 years. I am an independent CERTIFIED FINANCIAL PLANNER. I specialize in growing and preserving my client's wealth. BA and MBA FINRA Series 6, 7, 24, 26, 63 and 65 registrations through LPL Financial Life / Health / Property and Casualty Insurance licenses. LPL Registered Principal and Chabot Wealth Management's President
What financial institution(s) do you represent? I am an independent advisor and am approved to offer numerous financial institutions products including but not limited to: Fidelity, Vanguard American Funds, Franklin Templeton, Oppenheimer, Prudential, Hartford, Jackson, Sunamerica, Goldman Sachs, JP Morgan, MFS, Putnam, HSBC, Cole, Franklin Square, Metlife, John Hancock, Transamerica, Principal
How do you charge for your services? Percentage of Assets, Commission and/or hourly rate all agreed upon by both parties. No charge or obligation for initial consultation
Why should I choose you as my financial advisor? I make complex issues simple for my clients and provide objective financial advise so my clients make better decisions with the money
What are your qualifications? MBA, CFP®, FINRA SERIES 6,7,24,26,63 and 65 Licenses through LPL Financial. California Property, Casualty, Life and Health Insurance License #0E70330
What is your approach to 401 K plan rollovers? Competent, Objective, Independent Financial Advice
How long does the process of rolling over a 401K plan usually take? depends on where your money is. Usually 2 weeks.
What financial institutions do you represent? LPL Financial, Jackson National, Prudential, New York Life, Oppenheimer Funds, Franklin Templeton, Fidelity, Vanguard, Putnam, American Funds,
How many years of experience do you have? 15
What are your fees for this service? Percentage of assets, commission and/or hourly rate all agreed upon by both parties. No charge or obligation for initial consultation.
How many 401K rollover clients do you currently manage? 100
Why should I roll over my 401K plan to your firm? I make complex issues simple for my clients and provide objective financial advise so my clients make better decisions with their money.