| Advisor Profile |
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Disclosure Link:
http://www.regencywealth.com/disclosures" target="_blank">WiserAdvisor provides referr...
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| Disclaimer |
| Regency Wealth Management does not make any
representation or warranties as to the accuracy,
timeliness, suitability, completeness, or
relevance of any information prepared by any
unaffiliated third party, whether linked to
Regency Wealth Management?s web site or
incorporated herein, and takes no responsibility
therefore. All such information is provided solely
for convenience purposes only and all users
thereof should be guided accordingly. |
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About Regency Wealth Management |
Our mission is to assist individuals, families, & institutions
with identifying, understanding, and pursuing their financial
goals and objectives. As wealth grows, it requires appropriate
attention to a variety of areas including cash management, asset
diversification, legal & estate issues, charitable planning, and
management of the risks that may threaten the plan. Our focus is
on helping clients navigate an increasingly complicated financial
landscape to accumulate, preserve, and ultimately distribute their
wealth. Doing so successfully requires trustworthy advice,
personal service, and a close partnership. |
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General Information |
| Years of Experience in Financial Services: |
30+
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| Foreign Languages Serviced: |
Spanish.
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| Work Experience: |
Our team has over 60 years of collective investment
experience.
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| States Licensed in: |
NY, NJ
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| Name of Custodial Firm: |
Fidelity
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| Number of Years with Current Firm: |
8
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| Work with the following types of clients: |
Individual Investors, Non-Profit Organizations
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| States Willing to do Business in: |
Alpine,Ardsley,Ardsley On Hudson,Armonk,Briarcliff Manor,Caldwell,Cedar Grove,Cedar Knolls,Englewood Cliffs,Essex Fells,Fair Lawn,Franklin Lakes,Glen Rock,Greenwood Lake,Hastings On Hudson,Ho Ho Kus,Midland Park,Monroe,Montclair,Mountain Lakes,New York,Oakland,Oradell,Paramus,Port Chester,Ridgewood,Ringwood,Roseland,Rye,Short Hills,Sloatsburg,Sparta,Tuxedo Park,Vernon,Wanaque,Wayne,West Nyack,Wyckoff,Nationwide
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| Advisory Services Provided: |
Financial Planning for Businesses, Financial Planning for Individuals, Financial Advice & Consulting
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Services |
| Investment Types: |
Mutual Funds, Options & Futures, Bonds, Stocks, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI)
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| Can meet clients in the following ways: |
Your Office, Email, Phone, Our Office, Your Home
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Chartered Financial Analyst (CFA)
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| Financial Organization Memberships: |
The Institute for Chartered Financial Analysts
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| Non-Financial Organization Memberships: |
NYSSA, FIASI
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Firm Information |
| Assets Managed by Firm: |
$240,000,000
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| Assets Managed by Advisor: |
$240,000,000
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| Advisor's Number of Clients: |
186
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| Firm's Number of Clients: |
186
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| Advisor's Number of Planning Clients: |
>100
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| Advisor's Number of Managed Clients: |
186
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| Firm's Number of Planning Clients: |
>100
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| Firm's Number of Managed Clients: |
186
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Compensation and Fees |
| Minimum Portfolio Size for New Managed Accounts: |
$750,000.00
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Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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Our fees are all in arrears and there is no termination penalty. |
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What are your qualifications? What is your education background? |
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Customized and in depth using state of the art software that allows all financial data to be considered, tracked in real time, and simulated conservatively. |
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How are you compensated? How will I pay for your services? |
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If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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We work as a team so that any of our professionals can assist all clients. |
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How many clients do you currently manage? |
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Our interests are aligned with yours as our fees are a percentage of assets managed; charged quarterly directly to your Fidelity account. |
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Will you be the only person working with me? |
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We manage investments on a discretionary basis as clients permission us to trade and manage accounts. Fidelity generates trading confirmations and statements automatically and sends them to you. |
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Do you offer any guaranteed results? |
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No. Investments entail risk and performance is not guaranteed. |
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How much risk should I be willing to take? |
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That will depend on your overall, unique financial picture, your employment status, and your personal risk preferences and financial goals. We work with you in arriving at appropriate risk levels. |
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Have you ever been charged with any breaches? |
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What is your approach to financial planning? |
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We charge a percentage of assets managed that declines in scale. |
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What services do you offer? |
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We offer customized solutions that draw on our team's expertise delivered in an attentive and personal way. Your financial future is serious and we treat is with the highest integrity and attention. |
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Why should I choose you as my financial advisor? |
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How do you charge for your services? |
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Financial planning, investment management and coordination with other financial professionals (CPAs and estate lawyers). |
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What services do you provide? What are your specialties? |
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Financial planning and investment management. Our team has experts in financial planning, large cap stock investing, and fixed income. |
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What is your experience? How many clients do you currently manage? |
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Collectively, the team has over 60 years of experience and we manage over 180 clients. |
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What financial institution(s) do you represent? |
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We are a SEC Registered Investment Advisor and so are independent. |
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What are your qualifications? |
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We manage numerous retirement accounts and have assisted many of our clients simplify and plan their retirement accounts. |
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What is your approach to 401 K plan rollovers? |
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We favor managing investments comprehensively as part of your overall plan rather than overall sectors in all accounts. Tax efficiency, time horizon, and risk tolerance are natural complimentary considerations. |
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How long does the process of rolling over a 401K plan usually take? |
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One to three weeks is typical. |
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What financial institutions do you represent? |
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None. We are independently registered with the SEC. Fidelity serves as custodian for our client's accounts. Regency and Fidelity are not affiliates, and Regency has no broker-dealer affiliations. |
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How many years of experience do you have? |
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I have over 30 years of investment expertise and collectively, our team has over 60 years. |
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What are your fees for this service? |
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We charge a small percentage of assets managed that varies with the size of those investments. |
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How many 401K rollover clients do you currently manage? |
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Over a third of our clients have retirement accounts that we manage on their behalf. |
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Why should I roll over my 401K plan to your firm? |
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We offer customized solutions that draw on our team's expertise delivered in an attentive and personal way. Your financial future is serious and we treat is with the highest integrity and attention. |
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