CRD#

2484827

Firm CRD#

153188

Name of Custodial Firm

TD Ameritrade Institutional

States Licensed in

CA

Years of Experience in Financial Services

22

Number of Years with Current Firm

10

Work with the following types of clients

Individual Investors, Businesses, Non-Profit Organizations, Investment Clubs

Foreign Languages Serviced

Conversational French and Spanish

Registered Investment Advisor

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

MBA

Securities Licenses

Series 65

Firm's Number of Clients

200

Firm's Number of Managed Clients

80

Assets Managed by Firm

$100,000,000

Advisor's Number of Clients

200

Assets Managed by Advisor

$100,000,000

Fee Structure

Fee-Only

Fee % Based on Assets

0.90%

Minimum Fee Charged for Managed Accounts

$0

MBA (Masters in Business Administration) - Business Administration

Arizona State University
-

Bachelors - Economics

California State University, Long Beach
-

Certified Financial Planner - Financial Planning

UCLA
-