We are dedicated to providing investment management and
strategic wealth planning to our clients. Simply put, we strive
to be our clients trusted advisor. As a financial advisory
firm, our primary focus is to provide unbiased opinions that are
designed to achieve long term investment results.
Waits Financial Group does this with the highest levels of
trust, integrity and respect while always collaborating using a
We are dedicated to professionally supporting, educating and
providing informed direction to each and every client.
|Name of Broker/Dealer:||Prospera Financial|
|Name of Custodial Firm:||Wells Fargo Advisors|
|States Licensed in:||
CA, CO, DE, DC, FL, IL, KY, LA, MD, MA, MO, OK, |
PA, TX, UT, VA
|Number of Years with Current Firm:||20|
Qualifications & Memberships
|Insurance and Annuity Licenses:||Annuity , Disability , Long Term Care , Variable Annuity , Variable Life , Life|
|Assets Managed by Firm:||$112,500,000|
|Registered Investment Advisor:||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:||I am a Fee-Based financial professional|
|Compensation Methods:||Based on Assets|
Securities and Advisory services offered through Prospera Financial Services, Member FINRA/SIPC. I will not request personal or account information through this site. Any such request should be ignored and deleted. All personal and account updates must be completed in person or over the phone. Please make sure that you have set up security features on your site to protect your privacy. I will not accept trading instructions through this site.
A strong planning process is the best way to create a more financially secure plan. It is crucial to create a financial plan that seeks to protect your needs now, and that plans for the future, in a tax efficient manner. It is our goal to assist you to build a solid financial structure that will stand the test of time and that will grow and build wealth for you and your family.
We have established a process to do this that is based on two key aspects of financial security: asset protection and wealth creation. A plan must help ensure financial security throughout your life, for you and for your loved ones. It must provide income replacement and asset protection in the event that the unthinkable were to happen: disability, critical illness or death. The plan must also aim to build the maximum it can via a solid, tax efficient wealth portfolio.
With these goals in mind, we will work together to assess your total financial planning needs. We will consider important milestones such as major purchases, marriage, children, education, dreams and retirement. This plan will entail regular review of ongoing financial management strategies.
This goal-based financial security planning approach is designed to help you:
Define customized short and long-term goals that ensure you choose only the right financial products and services
Identify roadblocks or gaps that might impact your financial planning strategy
Continually monitor your plan to ensure it meets your changing needs
|Mon.||9:00 AM - 5:00 PM|
|Tue.||9:00 AM - 5:00 PM|
|Wed.||9:00 AM - 5:00 PM|
|Thu.||9:00 AM - 5:00 PM|
|Fri.||9:00 AM - 5:00 PM|