| Advisor Profile |
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| Disclaimer |
| Securities offered through LPL Financial,
Member FINRA/SIPC |
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Business Description |
Comprehensive Wealth Management firm located in Austin, Texas.
The investment climate has never been more exciting or more challenging than it is today.
To take advantage of all available opportunities, investors need two things: an understanding of which investment products are most appropriate for their situation and a relationship with a trustworthy representative who has a clear understanding of their needs.
By keeping clients' objectives in focus, staying in contact with them throughout all market conditions and making investment adjustments as economic or lifestyle conditions warrant, we maintain a constant commitment to putting service first.
As a full-service financial consultant firm, we offer clients an assortment of quality, non-proprietary investment choices. Our products and services include managed assets plans, tax-advantaged investing, college planning, retirement planning, investment portfolio analysis and estate planning.
If you would like any further information about these topics, or other areas of investing, please don't hesitate to contact us, by phone or email. We can help you make sense of today's investment climate. |
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General Information |
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| Name of Broker/Dealer: |
LPL Financial
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| States Licensed in: |
TX, AR, CT, FL, IA, IN, NJ, NY, OK, TN, WA
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| States Willing to do Business in: |
TX
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| Years of Experience in Financial Services: |
17
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| Number of Years with Current Firm: |
4
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| I work with the following types of clients: |
Individual Investors, Non-Profit Organizations, Businesses
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Services |
| Investment Types: |
Exchange Traded Funds (ETFs), Alternative Investments, Stocks, Mutual Funds, Insurance, Annuities, Bonds, Options & Futures, Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Accredited Investment Fiduciary® (AIF)
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| Securities Licenses: |
Series 63, Series 24, Series 7
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| Insurance and Annuity Licenses: |
Disability, Variable Life, Long Term Care, Variable Annuity, 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: |
300
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| Firm's Number of Planning Clients: |
300
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| Firm's Number of Managed Clients: |
300
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Compliance |
| 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: |
$250,000
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| Compensation Methods: |
Based on Assets
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| Fee % Based on Assets: |
Tiered
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| Prepared By: |
Kevin Lange |
Frequently Asked Questions |
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