Business Description

Our mission is to provide the highest degree of service, integrity, and confidentiality to all our clients. To provide the highest quality professional investment advice consistent with our clients long term risk and reward goals. Utilize academic principles of investing to achieve and preserve the long term purchasing power for our clients.

General Information

Gender:

Male

CRD#:

4666732

Firm CRD#:

46147

Name of Broker/Dealer:

Aurora Securities

States Licensed in:

IN, NC, KY,

States Willing to do Business in:

All

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Individual Investors, Businesses

Education

Academic Background

Bachelor of Science degree - North Carolina State University (1973)

Services

Investment Types:

REITs, Annuities, Mutual Funds, Alternative Investments, Socially Responsible Investments (SRI)

Qualifications & Memberships

Securities Licenses:

Series 6, Series 7, Series 22, Series 24, Series 28, Series 63, Series 65

Insurance and Annuity Licenses:

Variable Life, Long Term Care, Annuity, Variable Annuity, Life

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Firm's Number of Managed Clients:

450

Assets Managed by Firm:

$60,000,000

Advisor's Number of Clients:

Compliance

Registered Investment Advisor:

Yes

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

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$25000

Compensation Methods:

Based on Assets, Hourly, Commissions

Hourly Rate:

$125

Prepared By:

Jerry R Hendrix

Most Recent Update:

09/22/2008