Business Description

Our goal is to help take the mystery out of investing, managing risk, preparing for retirement, and preserving your wealth. Because many people regard financial planning as complex and confusing, they often miss out on many potentially rewarding financial opportunities for themselves, their business, or their family. They also take unnecessary risks and fail to adequately protect those things that are most important to them.

Our clients range from professional athletes and small-business owners, to individuals and families of every age and background. As a partner for the long haul, we get to know our clients as the unique individuals they are. Our greatest satisfaction comes from knowing that we are making a difference in our clients? lives.

General Information

Gender:

Male

CRD#:

4378425

Insurance License#:

180071

States Licensed in:

WA, MN, AZ, MT, TX, PA

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Non-Profit Organizations, Individual Investors

Education

Academic Background

BA, Business Administration - University of Washington

Services

Investment Types:

Insurance, Alternative Investments, Exchange Traded Funds (ETFs), Mutual Funds, Annuities, Stocks, Bonds, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, Chartered Life Underwriter (CLU®), Accredited Estate Planner (AEP), Chartered Financial Consultant (ChFC®), Chartered Advisor for Senior Living (CASL)

Securities Licenses:

Series 7, Series 66

Insurance and Annuity Licenses:

Variable Life, Life, Health, Annuity, Disability, Long Term Care, Variable Annuity

Financial Organization Memberships:

National Association of Insurance and Financial Advisors (NAIFA), Society of Financial Services Professionals, National Association of Estate Planners & Councils (NAEPC), Million Dollar Roundtable

Firm Information

Number of Advisors in Office:

10 - 99 employees

Compliance

Registered Representative:

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:

$100,000

Compensation Methods:

Flat Fee, Based on Assets

Additional Details on Charges:

Fees for financial services are determined via a mutually agreeable arrangement between the client and the advisor. Guidelines are set forth but not set in stone. Fees should not be the determining factor as to whether or not a plan is put into action. If a client is serious about putting a plan in place for their future I am excited to be a part of that process.

Prepared By:

Ryan Fleming, CFP®