| Advisor Profile |
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Business Description |
| I work one-on-one with my clients to understand what is important to them and their family. This information provides the foundation as I develop a strategic plan to help you get from where you are to attaining your short- and long- term goals. Together, we implement a personal financial strategy using state-of -the-art financial tools. As your personal situation evolves and market conditions change, we are here to help keep you on track to reach your financial goals. |
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General Information |
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| Name of Broker/Dealer: |
Ameriprise Financial
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| States Licensed in: |
OH, MI, FL, AZ, IN
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| Years of Experience in Financial Services: |
16
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| Number of Years with Current Firm: |
16
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| I work with the following types of clients: |
Individual Investors
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Education |
| Academic Background |
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| Bachelor of Science degree - The University of Toledo (1987) |
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Services |
| Investment Types: |
Real Estate, Alternative Investments, Annuities, Stocks, Bonds
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CERTIFIED FINANCIAL PLANNER™ Certificant, Chartered Retirement Planning Counselor (CRPC®), Certified Investment Management Analyst (CIMA®)
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| Securities Licenses: |
Series 7
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| Insurance and Annuity Licenses: |
Long Term Care, Life, Annuity, Disability
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| Financial Organization Memberships: |
Financial Planning Association (FPA)
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| Assets Managed by Advisor: |
72,000,000
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Compliance |
| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| I am an acknowledged fiduciary: |
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: |
100,000
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| Compensation Methods: |
Based on Assets, Commissions, Flat Fee
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| Additional Details on Charges: |
1% on first $500,000
.75% 501,000 to 1,500000
.5% 1,500,000 plus
negotiable thereafter
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| Prepared By: |
Michael Price |
Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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What are your qualifications? What is your education background? |
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I have 16 years experience and am a CFP Certificant. I also hold the Chartered Retirement Planning Counselor designation and the Certified Investment Management Analyst designation. |
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What is your approach to financial planning? |
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Holistic-all six key ares are analyzed and recommendations made: Net worth/cash flow; protection/insurances; investment allocation; retirement planning; income tax planning; estate planning. |
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What services do you offer? |
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Full Service Financial Planning and Investment Management Services |
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How many clients do you currently manage? |
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Will you be the only person working with me? |
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Either me or my associate, Matthew Casey, would be your "go-to" planner. Matt has 15 years experience. |
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How are you compensated? How will I pay for your services? |
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You pay a financial planning/advice fee for the planning work and an asset management fee for the portfolio work. |
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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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Do you offer any guaranteed results? |
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