Business Description

Our mission is to make a long-term difference for our clients by consistently building up both their assets and their overall peace of mind. We believe that strong client relationships are born out of exceptional efforts. Integrity and a commitment to excellence are at the core of our culture. We strive to educate, inspire and partner with clients to make sound financial decisions. Our success is a function of putting our clients? interests first.

Puckett Financial Advisors provides comprehensive wealth management services to individuals, families, trusts, corporations and non-profit organizations. When you become a Puckett Advisors client, you?ll benefit from a depth of information, research and advice ? it?s like having your own personal CFO. The entire Puckett Advisors Team is focused on delivering exceptional service to our discerning clients, building trust-based relationships that stand the test of time.

General Information

Gender:

Male

CRD#:

2447457

Firm CRD#:

131482

Name of Custodial Firm:

TD Ameritrade and Fidelity

States Licensed in:

OK, TX , AZ, FL,

States Willing to do Business in:

All

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Individual Investors, Non-Profit Organizations

Education

Academic Background

BBA Accounting - University of Oklahoma
Juris Doctorate - University of Oklahoma School of Law

Services

Investment Types:

Exchange Traded Funds (ETFs), Mutual Funds, Stocks, Bonds

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, Certified Public Accountant (CPA), Personal Financial Specialist (PFS), JD

Securities Licenses:

Series 63, Series 6, Series 7, Series 66

Financial Organization Memberships:

Financial Planning Association (FPA), American Institute of Certified Public Accountants (AICPA), Paladin Registry

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Firm's Number of Clients:

120

Firm's Number of Planning Clients:

100

Firm's Number of Managed Clients:

120

Assets Managed by Firm:

$110,000,000

Compliance

Registered Investment Advisor:

Yes

Investment Advisor Representative:

Yes

I am an acknowledged fiduciary:

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-only financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$400,000

Compensation Methods:

Based on Assets, Flat Fee

Additional Details on Charges:

$400,000 - $1,000,000 .99%
$1,000,001 - $3,000,000 .89%
$3,000,001 - $5,000,000 .79%
$5,000,001 - $10,000,000 .69%
Over $10,000,000 .39%

Prepared By:

Brian Puckett, CPA, CFP®