Business Description

We believe in total communication with the client with emphasis on education. We want to know as much about the client as possible, and not just their finacial situation. But who they are and what they want to accomplish not only with their finances, but also with their lives. By communicating, educating, and knowing, we establish mutual trust. The formulation of asset allocation models, investment recommendations and financial planning that follow are made easier after that mutual trust foundation is established. That is our mission and how we do business.

General Information

Gender:

Male

CRD#:

1059144

Firm CRD#:

6413

Name of Broker/Dealer:

LPL Financial Corporation

States Licensed in:

AL, AR, AZ, CA, CO, DC, FL, GA, HI, KY, MD, MA, MI, MS, NC, TN, VA, WY

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Individual Investors, Businesses

Education

Academic Background

Bachelor of Arts degree - Rhodes College
Master of Science degree - University of Mississippi

Services

Investment Types:

Mutual Funds, Annuities, Stocks, Alternative Investments, Bonds

Qualifications & Memberships

Securities Licenses:

Series 24, Series 7

Insurance and Annuity Licenses:

Long Term Care, Life

Firm Information

Number of Advisors in Office:

Up to 10 employees

Compliance

Registered 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

Compensation Methods:

Based on Assets

Prepared By:

John Coats