Business Description

Wealth Design Services is a NAPFA registered firm providing integrated investment, tax and financial planning to individual clients. We are located in Rochester New York. We are fee only and our advisors are CPAs holding advanced degrees.

General Information

Gender:

Male

CRD#:

4703156

Firm CRD#:

128133

SEC File#:

801-67741

Name of Custodial Firm:

Charles Schwab; SEI Trust Company

States Licensed in:

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

Tax Partner, Regional Public Accounting Firm 1984-2004

I work with the following types of clients:

Individual Investors

Services

Investment Types:

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

Qualifications & Memberships

Certifications, Accreditations & Designations:

Certified Public Accountant (CPA), Personal Financial Specialist (PFS)

Securities Licenses:

Series 65

Financial Organization Memberships:

National Association of Personal Financial Advisors (NAPFA), Paladin Registry, American Institute of Certified Public Accountants (AICPA)

Non-Financial Organization Memberships:

New York State Bar Association

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Advisor's Number of Clients:

135

Advisor's Number of Managed Clients:

Advisor's Number of Planning Clients:

Assets Managed by Advisor:

$40,000,000

Compliance

Registered Investment Advisor:

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:

$250,000

Compensation Methods:

Hourly, Flat Fee, Based on Assets

Prepared By:

Steven Schwartz