Business Description

I created this Web site to help you gain a better understanding of the financial concepts behind investing, retirement, estate planning, and wealth preservation. Most importantly, I hope you see the value of working with me to pursue your financial goals.
I'm here to help educate you about the basic concepts of investment planning, to help you learn more about who I am, and to give you fast, easy access to market performance and data.
I hope you take advantage of this resource and visit the site often. Be sure to add the site to your list of "favorites" in your Internet browser. I frequently update our information and I wouldn't want you to miss any developments in the area of personal finance.

General Information

Gender:

Male

CRD#:

1559196

Firm CRD#:

11025

Name of Broker/Dealer:

Wells Fargo Financial Advisor Network, LLC

Name of Custodial Firm:

Wells Fargo Financial Advisor Network, LLC

States Licensed in:

CA, MO, CO, IN, AR, NM, VA, NY

States Willing to do Business in:

Any and all.

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Investment Clubs, Non-Profit Organizations, Familes and CEOs, Individual Investors

Education

Academic Background

Bachelor of Arts, English Literature University of Missouri at Kansas City.

Services

Investment Types:

Alternative Investments, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Bonds, Options & Futures, Mutual Funds, Commodities, Stocks, Socially Responsible Investments (SRI)

Qualifications & Memberships

Securities Licenses:

Series 63, Series 9, Series 7

Non-Financial Organization Memberships:

Board of Directors Bookends. Member of executive committee Association for Corporate Growth 101.

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Compliance

Registered Representative:

Yes

Investment Advisor Representative:

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:

250,000

Compensation Methods:

Based on Assets, Flat Fee, Hourly

Additional Details on Charges:

Any fees in addition to management fees are carefully detailed and disclosed so you can see all charges at any given time.

Prepared By:

Jim Queen