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Business Description |
We are a independent wealth management firm, that offers a wide range of investment services from IRA's, Retirement Strategies, 401(k)/403(b) Evaluations, Investment Management, Annuities, and Financial Planning.
We also operate a seperate entity named "BP Consulting", a fully authorize tax service firm that offers tax preparation & tax planning. |
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General Information |
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| Name of Broker/Dealer: |
LPL Financial
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| States Willing to do Business in: |
CA,FL,NY,GA,NM,OK
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| Years of Experience in Financial Services: |
3
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| Number of Years with Current Firm: |
2
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| Work Experience: |
Worked for a large CPA Firm for over 5 years before entering financial services industry. Upon completing graduate school I obtained numerous security licenses to enter financial service industry.
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| I work with the following types of clients: |
Individual Investors, Businesses
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| Foreign Languages Serviced: |
Spanish
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Education |
| Academic Background |
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| Bachelors in Accounting and Masters in Business both from Texas A&M. |
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Services |
| Investment Types: |
Mutual Funds, Commodities, Insurance, Annuities, Exchange Traded Funds (ETFs), Stocks, Bonds
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Registered Financial Consultant (RFC)
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| Securities Licenses: |
Series 7, Series 66
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| Insurance and Annuity Licenses: |
Annuity, Disability, Variable Life, Long Term Care, Variable Annuity, Life
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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: |
250
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| Firm's Number of Planning Clients: |
100
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| Firm's Number of Managed Clients: |
15
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| Assets Managed by Firm: |
$20 million
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| Advisor's Number of Clients: |
75
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| Advisor's Number of Managed Clients: |
5
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| Advisor's Number of Planning Clients: |
50
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| Assets Managed by Advisor: |
$5 million
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Compliance |
| Registered Representative: |
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-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
N/A
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| Compensation Methods: |
Based on Assets, Subscriptions, Commissions
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| Fee % Based on Assets: |
1.5
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| Prepared By: |
Brian Perez |
Frequently Asked Questions |
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