About LPL Financial
Our clients' needs come first. We are committed to providing the highest quality and objective counsel, customized wealth management solutions, and unparalleled service to every client.
In today's complex environment, we add value to the financial decision-making process by utilizing our experience and expertise to guide our clients through the maze of issues facing them and their families.
We always strive for excellence in our clients relationships and promise to do our utmost to exceed expectations. We believe that personal relationships are critical to helping clients achieve their goals and improve the overall quality of their lives.
We are committed and vow to always act with the greatest of ethics, honesty and integrity for every client. We are dedicated to achieving success for our clients within their stated objectives and risk parameters. We strive for mutually rewarding, long-term relationships and to assist our clients and their families for decades.
| General Information |
| Name of Broker/Dealer: |
|
LPL Financial Services
|
| Name of Custodial Firm: |
|
LPL Financial Services
|
| States Licensed in: |
|
Arizonia, California, Colorado, Florida, Illinois, Indiana, Kentucky, Michigan, New Jersey, New York, Texas, Carolina,
|
| Number of Years with Current Firm: |
|
5
|
| Work Experience: |
|
14 years licensed. Investing for 23 years
|
| I work with the following types of clients: |
|
Individual Investors
, Non-Profit Organizations
, Businesses
|
| Services |
| Investment Types: |
|
Exchange Traded Funds (ETFs)
, Alternative Investments
, Bond Mutual Funds
, Options & Futures
, Mutual Funds
, Bonds
, Stocks
, Annuities
, Insurance
, Commodities
|
| I can meet clients in the following ways: |
|
At my office
, Via phone
, Via email
, At your office
, At your home
|
| Qualifications & Memberships |
| Insurance and Annuity Licenses: |
|
Annuity
, Health
, Life
, Variable Annuity
, Long Term Care
, Variable Life
|
| Financial Organization Memberships: |
|
Financial Planning Association (FPA)
, Paladin Registry
|
| Firm Information |
| Advisor's Number of Clients: |
|
125
|
| Advisor's Number of Managed Clients: |
|
100
|
| Advisor's Number of Planning Clients: |
|
100
|
| Assets Managed by Advisor: |
|
36,000,000
|
| Compliance |
| Registered Investment Advisor: |
|
Yes
|
| 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 & Fees |
| Fee Structure: |
|
I am a fee-based financial professional
|
| Minimum Portfolio Size for New Managed Accounts: |
|
$25000
|
| Compensation Methods: |
|
Based on Assets
, Hourly
, Flat Fee
, Commissions
|
| Additional Details on Charges: |
|
Our fee rates are between 1.5%-.075% depending on the complexity of the assets and management. I always provide a free portfolio evaluation with each person before they become a client. This allows me to properly evaluate your situation as well as give you the ability to evaluate myself and expertise. From there you have the ability to move forward at your comfort level.
|
DISCLOSURE
Member FINRA/SIPC
Securities and Advisory services offered through LPL Financial.
DISCLAIMER
Securities and Advisory services offered through LPL Financial, a registered investment advisor. Member FINRA & SIPC
