Basil Herzstein, CFP | Financial Advisor in Rockville ,MD

751 Rockvile pike
Suite 4A
Rockville, MD 20852
Phone: (301) 230-2677

About

As an Independent CERTIFIED FINANCIAL PLANNER? Professional I provide the highest quality financial advisory service to clients. We build successful relationships with clients that are based on trust, open communication and integrity.

Every client has unique needs and I provide advice to them on their financial needs for both the present and for the future.

We work with people of all incomes and ages and balance their needs to achieve their financial goals.

We focus on Individual and Corporate retirement Planning, College Funding, Capital Management and Long Term Care.

35 Years of Experience



General Information
Firm Start Year:   1977
No.of Employees:   2-4
Insurance License#:   35181
Name of Broker/Dealer:   AXA-Advisors, LLC
Name of Custodial Firm:   LPL/Linsco Private Ledger
States Licensed in:   MD,DC,VA,PA,NY,FL,TX,WV
Number of Years with Current Firm:   25
Work Experience:   For over 35 years I have worked with clients to help them to meet their financial goals.
I work with the following types of clients:   Individual Investors , Businesses
Foreign Languages Serviced:   Dutch


Services
Investment Types:   Bonds , Alternative Investments , Exchange Traded Funds (ETFs) , Stocks , Mutual Funds , Insurance , Annuities , Socially Responsible Investments (SRI)
I can meet clients in the following ways:   At your office , At my office , Via phone


Qualifications & Memberships
Insurance and Annuity Licenses:   Disability , Health , Variable Life , Long Term Care , Variable Annuity , HMO , Life , Annuity
Financial Organization Memberships:   Financial Planning Association (FPA)


Firm Information
Firm's Number of Clients:   350
Firm's Number of Planning Clients:   100
Firm's Number of Managed Clients:   100
Advisor's Number of Clients:   350
Advisor's Number of Managed Clients:   100
Advisor's Number of Planning Clients:   100
Assets Managed by Advisor:   $45,000,000


Compliance
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:   Based on Assets , Hourly , Commissions
Fee % Based on Assets:   yes



FAQs

  • Do you have a customer satisfaction or refund policy? Yes, absolutely
  • What are your qualifications? What is your education background? I am a Certified Finanacial Planner, CFP with over 35 years of experience
  • What is your approach to financial planning? Comprehensive review, discussion and evaluation with the client as to what their, current situation is, what goals and needs are and then we proceed to implement the plan. The plan is then evaluated on a regular basis and adjustments are made as needed.
  • What services do you offer? Comprehensive Financial Planning, Tax Preparation and Planning, Estate Planning, Investments, Insurance, Long Term Care and general financial advice and planning
  • How many clients do you currently manage? Appoximately 225
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DISCLAIMER

Basil Herzstein, CFP is a registered representative and investment advisor representative who offers securities and investment advisory services through AXA Advisors, LLC (NY, NY 212-314-4600), member FINRA/SIPC, and is an agent who offers annuity and insurance products through AXA Network, LLC and/or its insurance agency subsidiaries. AXA Network, LLC does business in California as AXA Network Insurance Agency of California, LLC and, in Utah, as AXA Network Insurance Agency of Utah, LLC. AXA Advisors and AXA Network are affiliated companies and do not provide tax or legal advice. Representatives may transact business, which includes offering products and services and/or responding to inquiries, only in state(s) in which they are properly registered and/or licensed. Your receipt of this e-mail does not necessarily indicate that the sender is able to transact business in your state. AGE 65444 (10/11)(Exp. 10/13).

Basil Herzstein, CFP

Basil Herzstein, CFP

CERTIFIED FINANCIAL PLANNER™ Certificant

Communities Served

MD DC
VA HI
PA NY
FL TX
WV

Office Hours

Mon. 8:30 AM - 5:30 PM
Tue. 8:30 AM - 5:30 PM
Wed. 8:30 AM - 5:30 PM
Thu. 8:30 AM - 5:30 PM
Fri. 8:30 AM - 5:30 PM

Compensation Arrangements

Check Money Order