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
-