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Business Description |
| Thirty years of Financial Service Industry experience working with Retirees,Small Businesses and High Net Worth individuals. Fee Only portfolio and asset management. Specializations include Tax Reduction Strategies including offshore management and planning, Estate planning and management,Hedged Portfolio strategies. We work hard so I clients don't have to. |
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General Information |
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| Name of Custodial Firm: |
Schwab Institutional
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| Years of Experience in Financial Services: |
28
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| Number of Years with Current Firm: |
1
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| Work Experience: |
1981 Merrill Lynch
1985 Raymond James
1991 Swilley & Associates/ Buckhead Financial
1993 Swilley & Associates/ CapTrust Securities
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| I work with the following types of clients: |
Individual Investors, Non-Profit Organizations, Investment Clubs, Businesses
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| Foreign Languages Serviced: |
French-Spanish
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Education |
| Academic Background |
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Bachelor of Arts degree - Furman University
Donald T. Regan School of Economics Taxation |
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Services |
| Investment Types: |
Annuities, Insurance, Commodities, Mutual Funds, FOREX & Currency, Options & Futures, Alternative Investments, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Bonds, Private Funds DPPS, Stocks, Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
MFP, Registered Financial Consultant (RFC)
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| Securities Licenses: |
Series 65
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| Financial Organization Memberships: |
AAFM, American Institute of Certified Public Accountants (AICPA), Society of Financial Services Professionals
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| I work with clients as part of a team: |
Yes
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Compliance |
| Registered Investment Advisor: |
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-only financial professional: |
Yes
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| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$25,000
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| Compensation Methods: |
Hourly, Flat Fee, Based on Assets
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| Additional Details on Charges: |
Fee method at Client's option.
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| Minimum Fee Charged for Managed Accounts: |
100
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| Minimum Fee Charged for Hourly Planning Accounts: |
100
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| Minimum Fee Charged for Flat Fee Accounts: |
100
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| Prepared By: |
Floyd Swilley |
Frequently Asked Questions |
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What are your qualifications? What is your education background? |
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BS Furman Univesty,Master Financial Management,Chartered Estate and Trust Planner |
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What is your approach to financial planning? |
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Total picture approach intergrating tax portfolio and estate management |
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What services do you offer? |
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Portfolio Management, tax estate and financial management and business planning |
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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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How are you compensated? How will I pay for your services? |
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Do you offer any guaranteed results? |
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no and you should be wary of anyone who does |
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How much risk should I be willing to take? |
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this is a function of your goals and objectives |
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What services do you provide? What are your specialties? |
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Financial Planning, Portfolio Management, Estate Planing, Business Planning, Tax Planning |
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| Q. |
What is your experience? How many clients do you currently manage? |
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Financial Professional since 1982 |
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How do you charge for your services? |
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Do you provide a free initial consultation? |
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| Q. |
What are your qualifications and experience? |
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30 yrs experience in finacial and tax services |
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Will you come to our location? |
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What are your rates? |
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Vary depending on complexity |
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| Q. |
Why should we choose you for our tax needs? |
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We look at your total financial picture and suggest tax saving ideas |
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| Q. |
What are your qualifications and experience? |
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30 years experience in te fnancil service industry |
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Will you come to my location? |
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What are your rates? |
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vary depending on complexity of your return |
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What are your management fees? |
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.25-2% dependin on the assets under management |
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What kind of plans do you specialize in? |
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SEP, 401k, Defined Benefits, VEBAs |
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Do you have a minimum requirement for number of employees or total investment value? |
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No we have a Solo (k) program for Small Businesses with only one member |
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