| Advisor Profile |
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| Name: |
Barry W. Ellis, CFP, CRPC |
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Business Description |
As a Senior Financial Advisor I understand that you have a lot at stake in today’s complex markets. You’ve worked hard over the years to build your net worth. Now, you're looking for ways to safeguard your dreams while still finding appropriate investing opportunities to help you reach them.
That's where I can help. I'll start by listening to your goals and dreams for the future, and work with you to build a financial plan tailored to those goals that includes wealth protection strategies appropriate for today's market. In addition, I'll work with you to find investing opportunities that are aligned with your plan.
That's why now, more than ever, you need a plan. |
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General Information |
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| Name of Broker/Dealer: |
Ameriprise Financial Services, Inc
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| States Licensed in: |
TX, FL, PA, CO, KS, MO, AR
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| Years of Experience in Financial Services: |
12
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| Number of Years with Current Firm: |
12
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| I work with the following types of clients: |
Businesses, Individual Investors
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| Investment Types: |
Options & Futures, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Alternative Investments, Bonds, Mutual Funds, Commodities, Insurance, Annuities, Stocks, Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CERTIFIED FINANCIAL PLANNER™ Certificant, Chartered Retirement Planning Counselor (CRPC®)
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| Securities Licenses: |
Series 63, Series 7
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| Insurance and Annuity Licenses: |
Disability, Variable Life, Long Term Care, Variable Annuity, Health, Life, Annuity, Accident, Casualty, Property
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| Financial Organization Memberships: |
Financial Planning Association (FPA)
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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: |
700
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| Firm's Number of Planning Clients: |
300
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| Assets Managed by Firm: |
$200,000,000
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| Advisor's Number of Clients: |
250
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| Advisor's Number of Planning Clients: |
120
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Compliance |
| Registered 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 |
| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$100,000
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| Compensation Methods: |
Based on Assets, Commissions, Flat Fee
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| Fee % Based on Assets: |
0.25 - 1.5
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| Prepared By: |
Barry W. Ellis, CFP, CRPC |
Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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What are your qualifications? What is your education background? |
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12 years as a financial advisor; BSCE from University of Texas at Austin; Certified Financial Planner practitioner (CFP); Chartered Retirement Planning Counselor(CRPC) |
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What is your approach to financial planning? |
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Comprehensive Financial Planning or specific goals |
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What services do you offer? |
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Retirement, investment, estate, protection, accumulation goals, and tax 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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I will be the only advisor but you will get to know my very competent staff. |
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How are you compensated? How will I pay for your services? |
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If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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Do you offer any guaranteed results? |
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How much risk should I be willing to take? |
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It all depends upon your risk tolerance comfort and your goals. Risk is something that will be discussed in great detail. |
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Have you ever been charged with any breaches? |
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What services do you provide? What are your specialties? |
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Retirement, investment, estate, protection, accumulation goals, and tax planning. |
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What is your experience? How many clients do you currently manage? |
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12 years as a financial advisor; BSCE from University of Texas at Austin; Certified Financial Planner practitioner (CFP); Chartered Retirement Planning Counselor (CRPC) |
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What financial institution(s) do you represent? |
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Ellis & Ellis is an independent financial advisory practice of Ameriprise Financial Services, Inc. |
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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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Why should I choose you as my financial advisor? |
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Ellis & Ellis has a long successful track record in our Woodlands office as evidenced by very high client satisfaction survey results. |
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