| Advisor Profile |
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Business Description |
We have developed a unique process for creating financial strategies for accumulating and preserving wealth, working with business owners, executives, and families. This process was created to take a complex situation, as well as a simpler one, and make it easier to grasp and plan for your future. Whether you need help with creating a new strategy or remodeling an existing one, our platform is designed to accommodate various needs, but enabled to meet to your specific needs and desires.
Our planning technology provides our clients with the guidance and information needed to attain a successful financial strategy. The work we do is comprehensive and detailed. As a practice that specializes in investment management, as well as estate and special needs planning, the nature of our work leads to comprehensive life planning.
Please give us a call to discuss how we can help you with achieving your financial goals. In Pennsylvania, we have offices in the following locations: Harrisburg, Lancaster, Lehigh Valley, and Bala Cynwyd. Since our goal is accommodate our clients and prospective clients, we will meet at places of business or homes if this is preferred. |
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General Information |
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| States Licensed in: |
DE, FL, NJ, NY, MI, OH, PA, & VA
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| States Willing to do Business in: |
DE, FL, NJ, NY, MI, OH, PA, & VA
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| Years of Experience in Financial Services: |
7
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| Number of Years with Current Firm: |
7
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| I work with the following types of clients: |
Businesses, Non-Profit Organizations, Individual Investors
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Education |
| Academic Background |
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| University of Pittsburgh |
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Services |
| Investment Types: |
Mutual Funds, Exchange Traded Funds (ETFs), Options & Futures, Bonds, Insurance, Annuities, Stocks, Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Currently matriculating for CFP designation
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| Securities Licenses: |
Series 66, Series 7, Series 24
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| Insurance and Annuity Licenses: |
Annuity, Life, Variable Annuity, Long Term Care, Variable Life, Disability, Health
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| Financial Organization Memberships: |
Financial Planning Association (FPA), Million Dollar Roundtable, National Association of Insurance and Financial Advisors (NAIFA), Society of Financial Services Professionals
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| Non-Financial Organization Memberships: |
Lancaster Estate Planning Council, Lititz Lions, Lancaster Chamber of Commerce
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Firm Information |
| Number of Advisors in Office: |
10 - 99 employees
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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: |
$50,000
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| Compensation Methods: |
Based on Assets, Commissions, Flat Fee
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| Prepared By: |
Michael Wenner |
Frequently Asked Questions |
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What are your qualifications? What is your education background? |
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We are licensed with FINRA, Financial Industry Regulatory Authority, and have Series 7, Series 66, and Series 24 licenses. In addition, we have our Life and Health licenses. |
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What is your approach to financial planning? |
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Our approach is comprehensive. We believe that a financial plan is not something that is implemented and then set to the side. Your plan needs to be managed and requires attention. As things change in your life, your financial plan should as well. If it doesn't, your plan becomes static and may not help you reach your goals. |
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What services do you offer? |
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We are a comprehensive financial planning firm offering investment and insurance planning. Our specialty is in Estate Planning and Special Needs Planning. |
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How are you compensated? How will I pay for your services? |
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There are three ways to our compensation. We can discuss this further when we speak, but simply: Fee-Based, Product Based, Referral Based. |
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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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In most cases, we do not ask for discretionary authority, as we believe it is important for our clients to fully participate in the management of their financial plan. The moment a clients discontinues participation is the moment communication breaks down and the relationship becomes tarnished. |
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How much risk should I be willing to take? |
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We cannot answer that for you yet. We can assess your risk upon having a discussion. Only then would we able to tell you how much risk you should consider taking. |
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Have you ever been charged with any breaches? |
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What financial institution(s) do you represent? |
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We use AXA Advisors, LLC as our platform for doing financial planning. They provide us with the platform necessary to implement financial plans for our clients. You can learn more by going to www.axaonline.com |
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Do you provide a free initial consultation? |
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Yes, we always provide a free initial consultation. |
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Why should I choose you as my financial advisor? |
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Our clients like the fact that we're objective and always working on behalf of their best interests. They appreciate that we educate them, empowering them to make important life decisions. If you think you would like to work with a firm like that, then that's why you should work with us. |
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