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Business Description |
Our services cover all areas of financial management, from investment and retirement planning to risk management and estate conservation. We specialize in helping our clients develop a comprehensive, cohesive financial plan that fits their unique needs and enables them to meet both short- and long-term objectives.
On our Web site, you'll find valuable information for evaluating your current position and progress toward financial goals. We offer educational articles that outline financial concepts and highlight products designed to fill the gaps in your financial plan. You'll also find calculators that will help you assess your current and future needs. Please remember to visit our Web site often, as our content is constantly changing. For help with your financial management, or for more information |
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General Information |
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| CRD#: |
1249277 and 1207066
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| Name of Broker/Dealer: |
Northeast Securities Inc
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| Name of Custodial Firm: |
JP Morgan Securities
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| States Licensed in: |
NY, CT , CA, PA, NJ, FL,
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| Years of Experience in Financial Services: |
25
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| Number of Years with Current Firm: |
18
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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: |
Insurance, Bonds, Stocks, Annuities, Exchange Traded Funds (ETFs), Alternative Investments, Options & Futures, Mutual Funds, Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CERTIFIED FINANCIAL PLANNER™ Certificant, Accredited Asset Management Specialist (AAMS®)
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| Securities Licenses: |
Series 6, Series 7, Series 63
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| Insurance and Annuity Licenses: |
Disability, Variable Life, Long Term Care, Variable Annuity, Life, Health, Annuity
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| Financial Organization Memberships: |
Million Dollar Roundtable
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Firm Information |
| Number of Advisors in Office: |
10 - 99 employees
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| I work with clients as part of a team: |
Yes
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| Firm's Number of Clients: |
50,000+
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| Advisor's Number of Clients: |
300+
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| Advisor's Number of Managed Clients: |
150+
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| Advisor's Number of Planning Clients: |
150+
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| Assets Managed by Advisor: |
50 Million +
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Compliance |
| Registered Investment Advisor: |
Yes
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| 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, Hourly, Flat Fee, Commissions
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| Fee % Based on Assets: |
Varies
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| Additional Details on Charges: |
Our basic rate for financial planning is $200 per hour. A limited engagement addressing only one specific issue may take as few as three hours including the initial visit, the research and analysis, and the final case presentation. Alternatively, a full financial plan encompassing all aspects of financial planning (cash flow
and budgeting, investments, retirement, insurance, taxation, estate planning, and education funding) could involve 15 to 20 hours of work or more, depending on the complexity of the case. Each client presents with his or her own special circumstances, so it is impossible to accurately quote a fee without first meeting with the client to discuss their particular needs. We offer a free, one-hour ?Get Acquainted? meeting so that we may get to know the client?s goals and objectives and how we can help the client achieve them. Of course, a written fee estimate will be delivered prior to commencing any work.
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| Prepared By: |
Michael Gallagher |
Frequently Asked Questions |
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