Business Description

Our focus is long-term, one on one relationships, providing planning strategies in the core areas of investments, retirement, estate and businesses. Since 1937 we have been serving the needs of individuals, executives and business owners across the nation.

General Information

Gender:

Male

CRD#:

5077890

Firm CRD#:

866

Insurance License#:

452675

Name of Broker/Dealer:

Waddell & Reed, Inc.

States Licensed in:

PA, NJ, DE, NY

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Individual Investors, Non-Profit Organizations

Education

Academic Background

BS, Hotel & Restaurant - Penn State University (1982)
M.Ed., Secondary Education - West Chester University (2002)

Services

Investment Types:

Stocks, Bonds, Annuities, Insurance, Mutual Funds, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

Chartered Mutual Fund Counselor (CMFC®), Chartered Retirement Planning Counselor (CRPC®)

Securities Licenses:

Series 66, Series 7

Insurance and Annuity Licenses:

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

Non-Financial Organization Memberships:

Berwyn Fire Company
Penn State Chester County Chapter of the Alumni Association

Firm Information

Number of Advisors in Office:

Up to 10 employees

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:

$100,000

Compensation Methods:

Flat Fee, Commissions

Prepared By:

Ted McGurk, CRPC, CMFC