No.of Employees

2-4

CRD#

2835991

Firm CRD#

155622

Insurance License#

Life & Health

States Licensed in

CA

Years of Experience in Financial Services

25

Number of Years with Current Firm

10

Work with the following types of clients

Individual Investors, Businesses, Non-Profit Organizations

Advisory Services Provided

Estate Planning & Trusts, 401K Rollovers, Portfolio Management, Wealth Management

Registered Investment Advisor

Yes

Registered Representative

Yes

Investment Advisor Representative

Yes

Compliance Disclosures in Last 5 years

Have a clean record

Criminal Disclosures in Last 5 years

Have a clean record

Certifications, Accreditations & Designations

Registered Investment Advisor (RIA) (State or SEC) or RIA representative

Securities Licenses

Series 65

Insurance and Annuity Licenses

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

Financial Organization Memberships

FINRA (Financial Industry Regulatory Authority

Assets Managed by Firm

$95,000,000.00

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

$500,000

Compensation Methods

Hourly

Bachelor of Arts - General Studies with emphasis on Global Economics

University of Michigan
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