Business Description

We are a family based Financial planning firm .We establish long term buisness relationships by always calling you back and listening carefully to your wants and needs before moving forward with any plan.

General Information

Gender:

Male

CRD#:

1086478

Firm CRD#:

29604

Insurance License#:

RAI27800

Name of Broker/Dealer:

national planning corp

Name of Custodial Firm:

pershing

States Licensed in:

MD, va,d.c.,washington

States Willing to do Business in:

Miss.

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Individual Investors

Education

Academic Background

Towson State University B.S.

Services

Investment Types:

Alternative Investments, Exchange Traded Funds (ETFs), Mutual Funds, Stocks, Annuities, Insurance

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, Life Underwriter Training Council Fellow (LUTCF), Registered Financial Consultant (RFC)

Securities Licenses:

Series 6, 62, Series 22

Insurance and Annuity Licenses:

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

Financial Organization Memberships:

Financial Planning Association (FPA), Million Dollar Roundtable, Paladin Registry

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 Clients:

800

Firm's Number of Planning Clients:

Firm's Number of Managed Clients:

100

Assets Managed by Firm:

260,000,000

Advisor's Number of Clients:

260

Advisor's Number of Managed Clients:

Advisor's Number of Planning Clients:

Assets Managed by Advisor:

130,000,000

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:

100000

Compensation Methods:

Commissions, Based on Assets, Flat Fee, Hourly

Fee % Based on Assets:

Prepared By:

Dan Searles

Most Recent Update:

09/09/2008