| Advisor Profile |
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| Name: |
Rick Willoughby, AAMS |
| Phone Number: |
(866) 694-6621 |
| Website: |
Visit Website
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| Disclaimer |
| Rick Willoughby is a Registered Principal offering securities and advisory services through Independent Financial Group, LLC, a registered broker-dealer and investment advisor. Member FINRA and SIPC. Independent Financial Group, LLC and Symphony Financial Services, LLC are not affiliated. |
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Business Description |
| I strive to improve my clients' quality of life. This means treating each client individually, since every client has a unique set of circumstances. I pattern my financial advice to match each individual's goals. I consider myself a "Big Picture" planner and have a broad spectrum of investments from stocks to real estate to annuities. A financial plan should play like a symphony. |
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General Information |
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| Insurance License#: |
85862
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| Name of Broker/Dealer: |
Independent Financial Group LLC
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| Name of Custodial Firm: |
Pershing
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| States Licensed in: |
Arizona, California, Colorado, Florida, Hawaii, Illinois, Indiana, Iowa, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Nebraska, Nevada, New Jersey, New York, Ohio, Oregon, Pennsylvania, Texas, Washington, Wisconsin
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| States Willing to do Business in: |
Arizona, California, Colorado, Florida, Hawaii, Illinois, Indiana, Iowa, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Nebraska, Nevada, New Jersey, New York, Ohio, Oregon, Pennsylvania, Texas, Washington, Wisconsin
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| Years of Experience in Financial Services: |
9
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| Number of Years with Current Firm: |
5
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| I work with the following types of clients: |
Non-Profit Organizations, Businesses, Investment Clubs, Individual Investors
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Education |
| Academic Background |
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| Accredited Asset Management Specialist (AAMS) |
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Services |
| Investment Types: |
Annuities, Stocks, Bonds, Alternative Investments, Exchange Traded Funds (ETFs), Insurance, Mortgages & Real Estate, Options & Futures, Real Estate, Mutual Funds, Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Accredited Asset Management Specialist (AAMS®)
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| Securities Licenses: |
Series 6, Series 7, Series 22, Series 24, Series 63, Real Estate, Series 65
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| Insurance and Annuity Licenses: |
Variable Annuity, Long Term Care, Variable Life, Disability, Property, Casualty, Accident, Annuity, Health, Life, HMO
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| Financial Organization Memberships: |
SIPC, TICA, FINRA
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| Non-Financial Organization Memberships: |
AAR.NAR
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| Firm's Number of Clients: |
NA
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| Firm's Number of Planning Clients: |
NA
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| Firm's Number of Managed Clients: |
NA
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| Assets Managed by Firm: |
NA
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| Advisor's Number of Clients: |
NA
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| Advisor's Number of Managed Clients: |
NA
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| Advisor's Number of Planning Clients: |
NA
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| Assets Managed by Advisor: |
NA
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Compliance |
| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$50K
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| Compensation Methods: |
Based on Assets, Hourly, Commissions
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| Fee % Based on Assets: |
Varies
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| Additional Details on Charges: |
Every client decides on the best way for compensation based upon their needs.
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| Minimum Fee Charged for Managed Accounts: |
NA
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| Minimum Fee Charged for Hourly Planning Accounts: |
NA
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| Minimum Fee Charged for Flat Fee Accounts: |
NA
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| Prepared By: |
Rick Willoughby, AAMS |
| Most Recent Update: |
07/16/2008 |
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