I love what I do, structuring accounts to match each client's risk tolerance and building long-lasting relationships. I have worked with many clients for decades.
Please see my website for all information about myself and my firm.
General Information |
| Firm Start Year: | 1924 | |
| Name of Broker/Dealer: | Purshe Kaplan Sterling Investments |
| Name of Custodial Firm: | TD Ameritrade and Pershing Clearing Corp. |
| Number of Years with Current Firm: | 5 |
| Work Experience: | Thirty years is a long time in any profession. Not many things surprise me anymore. |
| Work with the following types of clients: | Businesses, Individual Investors |
| Advisory Services Provided: | Wealth Management, 401K Rollovers, Portfolio Management, Insurance Products & Annuities, Money Management, Financial Advice & Consulting, Investment Advice & Management |
Services |
| Investment Types: | Annuities, Stocks, Bonds, Options & Futures, Mutual Funds, Insurance, 401k Plans, Alternative Investments, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI) |
| Can meet clients in the following ways: | Email, Phone, Your Office, Our Office, Your Home |
Qualifications & Memberships |
| Insurance and Annuity Licenses: | Variable Life, Variable Annuity, Life |
Compensation and Fees |
| Fee Structure: | Fee-Based |
| Minimum Portfolio Size for New Managed Accounts: | 100000 |
| Compensation Methods: | Based on Assets |
Financial Services |
| Portfolio Management
Each account is custom designed based on an initial risk questionnaire utilizing stocks, ETF's and Mutual Funds. |
| Annuities
Fixed Annuities, Fixed-Indexed Annuities, Registered Index-Linked Annuities and Variable Annuities. We are not captive, and can use multiple companies and products. |
Disclosures |
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WiserAdvisor provides referrals to financial professionals. WiserAdvisor is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for WiserAdvisor to make these referrals, resulting in a conflict of interest. www.soleburygroup.com |
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Additional Detailed Disclosures |
Disclaimer |
| Securities offered through Purshe Kaplan Sterling Investments, Member FINRA/SIPC. Headquartered at 80 State Street, Albany, NY 12207. Purshe Kaplan Sterling Investments and the Firm are not affiliated companies. Investments through PKS or the Firm are: NOT FDIC INSURED, NOT BANK GUARANTEED, MAY LOSE VALUE, INCLUDING LOSS OF PRINCIPAL, NOT INSURED BY ANY STATE OR FEDERAL AGENCY. |
Registered Investment Advisor:
Yes
Registered Representative:
Yes
Investment Advisor Representative:
Yes
Acknowledged fiduciary:
Yes
Criminal Disclosures in Last 5 years:
I have a clean record
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