Business Description |
| My goal is to provide families and business owners
with assistance in building their financial freedom. I
have the skills, knowledge and experience required to
identify strategies that can help my clients meet their
established goals. My personal goal is to become a
lifetime resource for each and every client by living a
life of advocacy. When my clients implement the
financial strategies I provide, they win with peace of
mind knowing they have worked with a qualified
professional to address their concerns. |
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General Information |
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| Insurance License#: |
674512
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| Name of Broker/Dealer: |
Metropolitan Life
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| Name of Custodial Firm: |
Metropolitan Life
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| States Licensed in: |
KY IN
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| States Willing to do Business in: |
KY IN
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| Years of Experience in Financial Services: |
1
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| Number of Years with Current Firm: |
1
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| Work Experience: |
Worked as an analyst for pharmaceutical company for 7 years. Started with Met to build my financial practice.
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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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| BSBA in Finance May 1993 UofL, MBA Sullivan University 2000 |
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Services |
| Investment Types: |
Mutual Funds, Insurance, Annuities
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
MBA
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| Securities Licenses: |
Series 63, Series 6
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| Insurance and Annuity Licenses: |
Health, Life
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| Financial Organization Memberships: |
National Association of Insurance and Financial Advisors (NAIFA)
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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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| Firm's Number of Clients: |
17
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| Advisor's Number of Clients: |
17
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| Assets Managed by Advisor: |
$1500000.00
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Compliance |
| Registered Investment Advisor: |
Yes
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| Registered Representative: |
Yes
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| Investment Advisor Representative: |
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 |
| Minimum Portfolio Size for New Managed Accounts: |
$5000.00
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| Compensation Methods: |
Commissions
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| Prepared By: |
James Merrick |
