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 |
| Name of Custodial Firm: | LPL Financial Services |
| States Licensed in: | AZ,CA,CO,FL,IL,IN,KY,MI,NJ,NY,TX, |
| Number of Years with Current Firm: | 5 |
| Work Experience: | 14 years licensed. Investing for 23 years |
| Work with the following types of clients: | Non-Profit Organizations, Businesses, Individual Investors |
Services |
| Investment Types: | Mutual Funds, Bonds, Stocks, Bond Mutual Funds, Insurance, Commodities, Exchange Traded Funds (ETFs), Alternative Investments, Options & Futures, Annuities |
| Can meet clients in the following ways: | Phone, Email, Your Office, Our Office, Your Home |
Qualifications & Memberships |
| Insurance and Annuity Licenses: | Variable Life, Long Term Care, Variable Annuity, Life, Health, Annuity |
| Financial Organization Memberships: | Financial Planning Association (FPA) |
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 |
Compensation and Fees |
| Fee Structure: | Fee-Based |
| 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. |
Disclosures |
|
WiserAdvisor provides referrals to financial professionals of LPL Financial, LLC (LPL). WiserAdvisor is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay WiserAdvisor cash compensation for these referrals, which creates the incentive for WiserAdvisor to make these referrals, resulting in a conflict of interest. LPL ADV 2A https://www.lpl.com/content/dam/edam/format/disclosure/a58.pdf Additional Detailed Disclosures https://www.lpl.com/content/dam/edam/format/disclosure/wiseradvisor-lpl-detailed-disclosures.pdf |
Disclaimer |
| Securities and Advisory services offered through LPL Financial, a registered investment advisor. Member FINRA & SIPC |
Registered Investment Advisor:
Yes
Registered Representative:
Yes
Investment Advisor Representative:
Yes
Acknowledged fiduciary:
Yes
Compliance Disclosures in Last 5 years:
Have a clean record
Criminal Disclosures in Last 5 years:
Have a clean record
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