Business Description

My mission is to build life-long client relationships built on a foundation of trust and client satisfaction. My value is built on my experience and knowledge of financial and estate planning, investments, and financial markets. I work with my clients to formulate a comprehensive plan,implement that plan, and provide ongoing guidance and direction. As I work to help my clients accomplish their ultimate individual and family goals my focus never wavers from what is important-you, my client. I provide advice on privately managed accounts, managed accounts,annuities,non publically traded REITS,a 401K plan subscription advisory service. I am compensated either fee-based or commission dependent on what is being recommended. I hold a series 7,63,66 as well as a Colorado Life, Accident, Health, and variable products insurance license. My firm Presidential Brokerage, Inc is a correspondent to First Clearing Corporation/Wells Fargo Advisors. FINRA/SIPC

General Information

Gender:

Male

CRD#:

1101029

Insurance License#:

CO 49625

Name of Broker/Dealer:

Presidential Brokerage, Inc

Name of Custodial Firm:

First Clearing Corporation/Wells Fargo Advisors

States Licensed in:

AR,CA,CO,FL,GA,IL,LA,NC,NE,NJ,TX,VA

States Willing to do Business in:

Same as Licensed

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

Foreign Languages Serviced:

English, Russian

Education

Academic Background

University of Denver '79

Services

Investment Types:

Mutual Funds, Insurance, Annuities, Non Publically Traded REITS, Stocks, Alternative Investments, Bonds, Exchange Traded Funds (ETFs)

Qualifications & Memberships

Securities Licenses:

Series 66, Series 63, Series 7

Insurance and Annuity Licenses:

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

Firm Information

Number of Advisors in Office:

10 - 99 employees

I work with clients as part of a team:

Yes

Firm's Number of Clients:

15000

Firm's Number of Planning Clients:

2000

Firm's Number of Managed Clients:

10000

Assets Managed by Firm:

2-300,000,000

Advisor's Number of Clients:

120

Advisor's Number of Managed Clients:

Advisor's Number of Planning Clients:

Assets Managed by Advisor:

$36M

Compliance

Registered Representative:

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 & Fees

Fee Structure:

I am a fee-based financial professional

Minimum Portfolio Size for New Managed Accounts:

$50000

Compensation Methods:

Subscriptions, Hourly, Commissions, Based on Assets

Fee % Based on Assets:

1-3%

Hourly Rate:

$150

Minimum Fee Charged for Managed Accounts:

1.75%

Minimum Fee Charged for Hourly Planning Accounts:

$150

Prepared By:

John Avery