No.of Employees

50-99

CRD#

4568522

Firm CRD#

127902

States Licensed in

AL, TN, CA, MS, PA, SC, TX, VA, LA, NC

Years of Experience in Financial Services

21

Number of Years with Current Firm

12

Work with the following types of clients

Investment Clubs, Non-Profit Organizations, Individual Investors

Advisory Services Provided

Portfolio Management, Financial Planning, Retirement Planning, 401K Rollovers, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Investment Advice & Management, Insurance Products & Annuities, Wealth Management

Registered Representative

Yes

Investment Advisor Representative

Yes

Acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

Have a clean record

Criminal Disclosures in Last 5 years

Have a clean record

Certifications, Accreditations & Designations

CFP^®

Securities Licenses

Series 7, Series 66

Insurance and Annuity Licenses

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

Advisor's Number of Clients

165

Advisor's Number of Managed Clients

165

Advisor's Number of Planning Clients

148

Assets Managed by Advisor

$216,000,000

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

$500,000

Fee % Based on Assets

See Below

Additional Details on Charges

Fee Schedule 1.30% on the first $1,000,000 of market value 1.05% on the amount from $1,000,000.01 to and including $2,000,000 0.80% on the amount from $2,000,000.01 to and including $5,000,000 0.65% on the amount from $5,000,000.01 to and including $10,000,000 0.45% on the amount from $10,000,000.01 to and including $25,000,000 0.05% on the amount from $25,000,000.01 to and including $100,000,000

BSBA - Management

University of Alabama - Huntsville
01/01/2002 - 01/01/2004

BSBA - Management

Indiana University of Pennsylvania
01/01/1999 - 05/01/2001