General Information
Firm Start Year
1980
No.of Employees
5-9
CRD#
3189464
Firm CRD#
6413
Insurance License#
476616
Name of Broker/Dealer
LPL FINANCIAL LLC
Name of Custodial Firm
LPL FINANCIAL LLC
States Licensed in
LA, IL, KS, FL, MO, WV
Years of Experience in Financial Services
13
Number of Years with Current Firm
3
Work Experience
Financial Consultant - Goss Wealth Management - Oct 2018 - Present Financial Advisor - Securities America Inc. - Nov 2016 - Oct 2018 Financial Advisor - Morgan Stanley - May 2008 - Nov 2016
Work with the following types of clients
Individual Investors, Businesses
Advisory Services Provided
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Insurance Products & Annuities, Investment Advice & Management
Compliance
Registered Investment Advisor
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Certifications, Accreditations & Designations
CFP®, MBA
Securities Licenses
Series 63, Series 7, Series 31, Series 66
Insurance and Annuity Licenses
Accident, Health, Variable Annuity, Variable Life, Life
Firm Information
Firm's Number of Clients
2000
Firm's Number of Planning Clients
400
Firm's Number of Managed Clients
1500
Assets Managed by Firm
$750,000,000
Advisor's Number of Clients
150
Advisor's Number of Managed Clients
140
Advisor's Number of Planning Clients
40
Assets Managed by Advisor
$55,000,000
Compensation and Fees
Fee Structure
Fee-Based
Compensation Methods
Based on Assets
Additional Details on Charges
Fee breakpoints based on assets under management and level of financial planning required
Education
Bachelor of Science - Finance
University of New Orleans
01/06/1997 - 05/07/1999
Masters of Business Administration - Finance
University of Florida
08/22/2005 - 05/15/2007
Disclosures
LPL ADV 2A
https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf
LPL WiserAdvisor Cash Solicitor Disclosure
Disclaimer
SECURITIES OFFERED THROUGH LPL FINANCIAL, MEMBER. INVESTMENT ADVICE OFFERED THROUGH GWM ADVISORS, A REGISTERED INVESTMENT ADVISOR. GWM ADVISORS and GOSS WEALTH MANAGEMENT are separate entities from LPL Financial. The LPL Financial representative associated with this website may discuss and/or transact securities business only with residents of the following states: AK, AL, AZ, CA, CO, DE, FL, GA, IL, KY, LA, MA, MI, MO, MS, NC, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, TX, VA, VT, WA, WV. GWM ADVISORS is a Registered Investment Advisor. Advisory services are only offered to clients or prospective clients where GWM Advisors and its representatives are properly licensed or exempt from licensure. Past performance is no guarantee of future returns. Investing involves risk and possible loss of principal capital. No advice may be rendered by GWM Advisors unless a client service agreement is in place.
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