|
|
|
|
|
|
About Strategic Financial Group |
The mission of our firm is to become the last financial decision any client has to make. We strive to provide consistent repeatable results in all cycles of the financial markets & economy. Our disciplined approach to risk management allows the flexibility to manage all assets in a strategic manner.
FIRST MEETING: Take a financial snapshot
Create a financial plan
Act on the financial plan
Set next appointment
FIRST MEETING, No cost, No obligation. |
|
| |
|
|
General Information |
| Years of Experience in Financial Services: |
21
|
|
|
|
|
|
| Work Experience: |
Experience:
23 years in the insurance industry
21 years as a financial advisor
Managed multiple branches for banks
Managed over 40 million in assets
2 years experience with Edward Jones Investments
4 years experience with Liberty Investments
2 years experience with National City Investments
1 year experience with Credit Union Financial Network.
Last 11 years Managing my own Fiduciary RIA Frim. *Strategic Financial Group*
|
|
|
|
|
|
| Name of Custodial Firm: |
Charles Schwab
|
|
| Number of Years with Current Firm: |
12
|
|
| Insurance License#: |
932964
|
|
| Work with the following types of clients: |
Investment Clubs, Businesses, Individual Investors, Non-Profit Organizations
|
|
| States Willing to do Business in: |
Apache Junction,Chandler,Fountain Hills,Gilbert,Higley,Laveen,Mesa,Paradise Valley,Phoenix,Queen Creek,Sacaton,Scottsdale,Tempe
|
|
| Advisory Services Provided: |
Tax Advice and Services, Financial Planning for Businesses, Financial Planning for Individuals, Education Funding and Planning, Risk Management, Money Management, Wealth Management, 401K Rollovers, Retirement Planning, Portfolio Management, Financial Planning, Insurance Products & Annuities, Investment Advice & Management, Financial Advice & Consulting
|
|
| |
|
|
|
Services |
| Investment Types: |
Mutual Funds, FOREX & Currency, Options & Futures, Bonds, Stocks, Annuities, Insurance, Commodities, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI)
|
|
| Can meet clients in the following ways: |
Your Office, Email, Phone, Our Office, Your Home, Our Offices, Video Conference
|
|
| |
|
Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CIS
|
|
| Securities Licenses: |
Series 63, Series 66
|
|
| Insurance and Annuity Licenses: |
Variable Life, Long Term Care, Variable Annuity, HMO, Life, Health, Annuity, Accident, Casualty, Property, Disability
|
|
| Non-Financial Organization Memberships: |
www.arizonabusinessnetworking.com
|
|
| |
|
Firm Information |
| Assets Managed by Advisor: |
$28,000,000
|
|
| Firm's Number of Clients: |
50
|
|
| Firm's Number of Planning Clients: |
50
|
|
| Firm's Number of Managed Clients: |
50
|
|
| |
|
Compliance |
| Criminal Disclosures in Last 5 years: |
Have a clean record
|
|
| Compliance Disclosures in Last 5 years: |
Have a clean record
|
|
| Registered Investment Advisor: |
Yes
|
|
| Investment Advisor Representative: |
Yes
|
|
| Acknowledged fiduciary: |
Yes
|
|
| |
|
Compensation and Fees |
| Compensation Methods: |
Based on Assets, Hourly, Flat Fee
|
|
| Minimum Portfolio Size for New Managed Accounts: |
$25,000
|
|
|
|
| |
|
| |
| |
Frequently Asked Questions |
 |
| Q. |
Do you have a customer satisfaction or refund policy? |
| |
Our Firm Offers A No Cost, NO Obligation First Appointment. |
|
| Q. |
What are your qualifications? What is your education background? |
| |
Creating and Protecting Wealth.
"Manage Risk Returns Will Come" |
|
| Q. |
How are you compensated? How will I pay for your services? |
|
| Q. |
If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
| |
Yes, I personally handle all investment accounts. |
|
| Q. |
How many clients do you currently manage? |
|
| Q. |
Will you be the only person working with me? |
| |
This is optional, per clients request. |
|
| Q. |
How much risk should I be willing to take? |
| |
We manage the risk for you. |
|
| Q. |
Have you ever been charged with any breaches? |
|
| Q. |
What is your approach to financial planning? |
| |
Fee only planning for investments, tax, planning, ect.. |
|
| Q. |
What services do you offer? |
| |
I am good at what I do. My clients enjoy the benefits of having a clear road map of their financial situation. clients understand with my leadership and this road map, we can reach financial independence. |
|
| Q. |
What carrier(s) do you represent? |
| |
Our firm has agreements with over 20 companies. |
|
| Q. |
Why should I choose you as my financial advisor? |
| |
MSFS-Masters Degree In Financial Services.
Multiple years of managing investment accounts. |
|
| Q. |
How do you charge for your services? |
| |
W ills &Trusts
E xpense reduction
A sset management
L iability protection
T ax services
H ome ownership
|
|
| Q. |
What services do you provide? What are your specialties? |
| |
I work best with managed accounts where I am directly accountable for the performance. |
|
| Q. |
What is your experience? How many clients do you currently manage? |
| |
Several years as lead investment manager currently managing about 50 households. |
|
| Q. |
What financial institution(s) do you represent? |
| |
I have my own RIA Firm which clears through Charles Schwab. |
|
| Q. |
What are your qualifications and experience? |
| |
Several years of tax planning with businesses, including retirement plans. |
|
| Q. |
Will you come to our location? |
|
| Q. |
What are your rates? |
| |
Hourly fee, based on services rendered. |
|
| Q. |
Why should we choose you for our tax needs? |
| |
My partner in the firm has run a tax business for over 20 years. |
|
| Q. |
What are your management fees? |
| |
Varies, based on plan assets. |
|
| Q. |
What kind of plans do you specialize in? |
| |
Smaller Plans 1-25 employees. |
|
| Q. |
Do you have a minimum requirement for number of employees or total investment value? |
|
| Q. |
What type of plans do you offer? |
| |
Simple, Sep, 401k, Solo K, ect.. |
|
| Q. |
Do you offer any additional services? |
| |
Yes, workshops, educational events, free client financial plan. |
|
| Q. |
What are your qualifications? |
| |
I have done 100's of rollovers for clients in my 13+ years. |
|
| Q. |
What is your approach to 401 K plan rollovers? |
| |
Rollover the money to a plan that fits your personal financial needs and goals. |
|
| Q. |
How long does the process of rolling over a 401K plan usually take? |
| |
Not that long, when you have done a few its easier than you think. |
|
| Q. |
What financial institutions do you represent? |
|
| Q. |
How many years of experience do you have? |
|
| Q. |
What are your fees for this service? |
|
| Q. |
Why should I roll over my 401K plan to your firm? |
| |
You get a service agreement in writing. We are not here to just make Fees, were here to "Build your Financial Future" |
|
|
|
