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About LPL Financial |
Our clients' needs come first. We are committed to providing the highest quality and objective counsel, customized wealth management solutions, and unparalleled service to every client.
In today's complex environment, we add value to the financial decision-making process by utilizing our experience and expertise to guide our clients through the maze of issues facing them and their families.
We always strive for excellence in our clients relationships and promise to do our utmost to exceed expectations. We believe that personal relationships are critical to helping clients achieve their goals and improve the overall quality of their lives.
We are committed and vow to always act with the greatest of ethics, honesty and integrity for every client. We are dedicated to achieving success for our clients within their stated objectives and risk parameters. We strive for mutually rewarding, long-term relationships and to assist our clients and their families for decades. |
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General Information |
| Years of Experience in Financial Services: |
14
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| Work Experience: |
14 years licensed. Investing for 23 years
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| States Licensed in: |
Arizonia, California, Colorado, Florida, Illinois, Indiana, Kentucky, Michigan, New Jersey, New York, Texas, Carolina,
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| Name of Custodial Firm: |
LPL Financial Services
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| Number of Years with Current Firm: |
5
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| Work with the following types of clients: |
Businesses, Individual Investors, Non-Profit Organizations
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| Name of Broker/Dealer: |
LPL Financial
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Education |
| Academic Background |
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| Bachelor of Business Administration degree Michigan State University |
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Services |
| Investment Types: |
Mutual Funds, Options & Futures, Bonds, Stocks, Annuities, Insurance, Commodities, Exchange Traded Funds (ETFs), Alternative Investments, Bond Mutual Funds
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| Can meet clients in the following ways: |
Your Office, Email, Phone, Our Office, Your Home
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
AWMA®, AAMS®, CRPC®
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| Securities Licenses: |
Series 7, Series 31, Series 63, Series 66
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| Insurance and Annuity Licenses: |
Variable Life, Long Term Care, Variable Annuity, Life, Health, Annuity
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| Financial Organization Memberships: |
Financial Planning Association (FPA)
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Firm Information |
| Assets Managed by Advisor: |
36,000,000
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| Advisor's Number of Clients: |
125
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| Advisor's Number of Planning Clients: |
100
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| Advisor's Number of Managed Clients: |
100
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Compliance |
| Criminal Disclosures in Last 5 years: |
Have a clean record
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| Compliance Disclosures in Last 5 years: |
Have a clean record
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| Registered Investment Advisor: |
Yes
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| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| Acknowledged fiduciary: |
Yes
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Compensation and Fees |
| Additional Details on Charges: |
Our fee rates are between 1.5%-.075% depending on the complexity of the assets and management. I always provide a free portfolio evaluation with each person before they become a client. This allows me to properly evaluate your situation as well as give you the ability to evaluate myself and expertise. From there you have the ability to move forward at your comfort level.
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| Compensation Methods: |
Based on Assets, Hourly, Flat Fee, Commissions
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| Minimum Portfolio Size for New Managed Accounts: |
$25000
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