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About Wealth Management Solutions, LLC |
Retirement or 401k Rollover? You and I may have already met. After engaging with Fortune
500 companies and their employees to provide education and advice on their retirement plans, I have
had the opportunity to speak with hundreds of clients across the country and assist them with their
financial goals. Because I have been invited to review and advise on investments for many employers
and their employees, there is a breadth of knowledge that many younger advisors and investment
salesmen do not have. The nearly 20 years of experience you see to the right of this paragraph -->
ensures that you are working with a partner who has helped clients through some of the toughest
markets and financial strains encountered in generations.
We maintain a select number of client and family relationships, and get to know your situation
inside and out. I will help you maximize your wealth by making the most of your company benefits
(401(k) plan, restricted stock, stock options, deferred compensation plans), by managing investments,
through income tax planning, estate and gift planning, and when income is needed: by turning your
investments into a reliable income stream. You can be confident in the advice we give, as we will
gladly put it in writing. As a client, you will receive detailed follow up emails after our meetings
so we can ensure there is no question as to what we recommended, and why. Our meetings are never
just a review of your most recent statement. |
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General Information |
| Years of Experience in Financial Services: |
19
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| Work Experience: |
For the past 21 years, I have advised clients,
most recently with WMS. Part of my tenure has been
as a Retirement Plan Advisor for 7 years.
Throughout my career, I have worked with Corporate
Executives and their employees across the country
to advise and simplify their investment needs. As
a wealth manager, I provide valuable advice in all
areas of financial planning and investment
management to help my clients achieve their
financial goals.
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| Name of Custodial Firm: |
Charles Schwab & CO and TD Ameritrade
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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, Trusts
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| States Willing to do Business in: |
Cave Creek,Chandler,Fountain Hills,Glendale,Mesa,Paradise Valley,Phoenix,Scottsdale,Sun City,Tempe
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Services |
| Investment Types: |
Mutual Funds, Bonds, Stocks, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI), International Investments
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| Can meet clients in the following ways: |
Email, Phone, Our Office
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Qualifications & Memberships |
| Securities Licenses: |
Series 7, Series 66
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| Financial Organization Memberships: |
Financial Planning Association (FPA)
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Firm Information |
| Assets Managed by Firm: |
$120,000,000
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| Assets Managed by Advisor: |
$125,000,000
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| Advisor's Number of Clients: |
55
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| Firm's Number of Clients: |
90
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| Advisor's Number of Planning Clients: |
45
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| Advisor's Number of Managed Clients: |
55
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| Firm's Number of Planning Clients: |
75
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| Firm's Number of Managed Clients: |
90
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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 |
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| Additional Details on Charges: |
We work on a fee-only basis which means we can only be compensated by our clients - we do not receive financial incentives from any third party such as brokerage firms, investment companies, or insurance companies.
This is our only method of compensation and it is the same way you compensate other professionals you depend on for specialized knowledge and services, for example your doctor, CPA or attorney. Paying your advisor directly eliminates several potential conflicts of interest because our advice is not impacted by the interests of third parties.
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| Compensation Methods: |
Based on Assets, Hourly, Flat Fee
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| Minimum Portfolio Size for New Managed Accounts: |
$250,000
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| Minimum Fee Charged for Managed Accounts: |
$3,000
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| Minimum Fee Charged for Hourly Planning Accounts: |
$3,000
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