Business Description

I provide comprehensive financial Planning for individuals and businesses. My Certification as a CFP means I have met rigorous standards in training and experience and have agreed to a strict code of ethics and business practices.

General Information

Gender:

Male

CRD#:

4793324

Firm CRD#:

468

SEC File#:

64288

Insurance License#:

1022388

Name of Broker/Dealer:

Signator

Name of Custodial Firm:

John Hancock Financial Network

States Licensed in:

NJ, PA, DE, ME, VT

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Individual Investors

Services

Investment Types:

Alternative Investments, Options & Futures, Exchange Traded Funds (ETFs), Mutual Funds, Insurance, Annuities, Stocks, Bonds

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant

Securities Licenses:

Series 66, Series 7

Insurance and Annuity Licenses:

Disability, Variable Life, Long Term Care, Variable Annuity, Life, Health, Annuity

Financial Organization Memberships:

Financial Planning Association (FPA)

Firm Information

Number of Advisors in Office:

10 - 99 employees

Firm's Number of Clients:

2000

Firm's Number of Planning Clients:

200

Firm's Number of Managed Clients:

500

Assets Managed by Firm:

$200,000,000

Advisor's Number of Clients:

150

Advisor's Number of Managed Clients:

Advisor's Number of Planning Clients:

Assets Managed by Advisor:

$20,000,000

Compliance

Registered Investment Advisor:

Yes

Registered 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-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$50,000

Compensation Methods:

Based on Assets, Commissions, Flat Fee

Fee % Based on Assets:

1.5

Prepared By:

Joseph Parisi, CFP®