| Advisor Profile |
|
 |
| Research This Advisor |
|
|
| Request More Information |
|
|
|
|
|
|
Business Description |
| We offer a full range of prefessional financial planning including investment management, retirement planning, insurance planning, tax planning, and estate planning. Our specialty is retirement income generation. We focus on individuals, families, and small businesses. We have offices in Mercerville, NJ and Yardley, PA. |
|
| |
|
|
General Information |
|
|
|
|
| Name of Broker/Dealer: |
Raymond James Financial Services
|
|
| Name of Custodial Firm: |
Raymond James Financial Service
|
|
| States Licensed in: |
PA, NJ, NY, CT, MA, FL, NC, VA, SC, CA, VT, WA
|
|
| States Willing to do Business in: |
all
|
|
| Years of Experience in Financial Services: |
14
|
|
| Number of Years with Current Firm: |
13
|
|
| I work with the following types of clients: |
Individual Investors, Businesses
|
|
| |
|
Education |
| Academic Background |
| |
BA, History - Penn State University
MA, International Relations - Naval Postgraduate School, Monterey, CA |
|
| |
|
Services |
| Investment Types: |
Mutual Funds, Exchange Traded Funds (ETFs), Alternative Investments, Options & Futures, Bonds, Insurance, Annuities, Stocks, Socially Responsible Investments (SRI)
|
|
| |
|
Qualifications & Memberships |
| Securities Licenses: |
Series 8, Series 7, Series 65
|
|
| Insurance and Annuity Licenses: |
Health, Variable Annuity, Life, Annuity, Disability, Variable Life, Long Term Care
|
|
| |
|
Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
|
|
| Advisor's Number of Managed Clients: |
120
|
|
| |
|
Compliance |
| Registered Investment Advisor: |
Yes
|
|
| Registered Representative: |
Yes
|
|
| Investment Advisor 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
|
|
| Minimum Portfolio Size for New Managed Accounts: |
$50,000
|
|
| Compensation Methods: |
Based on Assets, Commissions
|
|
|
|
| |
|
| |
| |
| Prepared By: |
Todd Gunerman |
Frequently Asked Questions |
|
| Q. |
What services do you offer? |
| |
personal financial planning
portfolio management |
|
| Q. |
How many clients do you currently manage? |
|
| Q. |
Will you be the only person working with me? |
| |
On personal financial matters, yes. I do have an assistant that helps with administrative matters. |
|
| Q. |
Have you ever been charged with any breaches? |
| |
no. go to http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/index.htm to check on any broker or firm |
|
| Q. |
Do you provide a free initial consultation? |
|
|
|
