As an Investment Adviser Representative with LPL Financial, a registered investment adviser, I can help you define your long-term investment objectives and build a personalized investment portfolio designed to achieve them. I recognize the importance of getting to know you ? your financial needs, your financial goals and your lifestyle.
My office was established to provide ongoing professional advice to investors while helping them meet their individual investment objectives. I am able to do this by offering truly objective financial advice on a fee basis. This method of compensation allows me to adjust your investment portfolio without requiring you to pay commissions.*
Working on a fee basis allows me to:
- Customize an investment portfolio that is designed to help you realize your short- and long-term investment goals.
- Provide simplified performance reporting, making it easy for you to monitor your account.
- Support you with ongoing professional advice, timely information about your account and updates on the world?s financial markets.
- Manage your portfolio and make investment changes without commissions* as your objectives or the economic climate changes.
* Nominal transaction charges may apply.
|Firm Start Year:||1995|
|Name of Broker/Dealer:||LPL FINANCIAL|
|States Licensed in:||CA CT FL GA MA MD NC NH NJ NY PA SC|
|Number of Years with Current Firm:||15|
I am a well known investment planner in the New York metropolitan area. With over two decades of experience in the insurance and financial services industry, I am committed to providing professional advice to help my clients achieve their financial goals. I am skilled in helping my retiree and pre-retiree clients efficiently plan their financial future and my experience also extends to the needs of small business owners. Believing every individual's case is unique, I listen carefully to understand each person's goals in order to develop an optimal, high quality solution that meets my client's specific needs.|
I am a Registered Securities Principal, licensed in 12 states. My firm, LPL Financial, is the nations #1 independent broker/dealer and has been for 15 years*.
*Based on total revenues, as reported in Financial Planning magazine, 1996 - 2010
|I work with the following types of clients:||Individual Investors , Businesses|
|Investment Types:||Alternative Investments , Exchange Traded Funds (ETFs) , Mutual Funds , Bonds , Stocks , Annuities , Insurance|
|I can meet clients in the following ways:||At my office , Via phone , At your office , At your home , Via email|
|Qualifications & Memberships|
|Insurance and Annuity Licenses:||Variable Annuity , Life , Variable Life , Long Term Care , Annuity|
|Registered Investment Advisor:||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:||50K|
|Compensation Methods:||Based on Assets , Commissions , Flat Fee|
|Fee % Based on Assets:||1|