Business Description

Regardless of the types of services we provide, we operate under the following tenets:

1. Place our clients' needs first and foremost in our practice
2. Deliver financial advice unique and flexible to each individual's changing needs
3. Monitor goal attainment
4. Work to minimize clients' costs by providing efficient tax management & low cost solutions
5. Keep current on financial planning & investment techniques

In line with our business philosophy, we work with you to design and manage investment portfolios specific to your goals & needs. We accomplish this through the following approach:

1. Build a partnership with you
2. Develop an understanding of your needs
3. Understand the current economic environment
4. Analyze the markets to identify specific opportunities
5. Maintain a good understanding of the related costs
6. Communicate with our clients regularly

General Information

Gender:

Male

CRD#:

5079153

Firm CRD#:

114361

Name of Custodial Firm:

TD Ameritrade

States Licensed in:

SEC registered, not state regulated

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Individual Investors, Non-Profit Organizations

Foreign Languages Serviced:

Spanish

Education

Academic Background

Bachelor of Science degree - Kennesaw State University

Services

Investment Types:

Mutual Funds, Stocks, Exchange Traded Funds (ETFs), Bonds

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, Enrolled Agent (EA), Accredited Wealth Management Advisor(AWMA), Chartered Retirement Plans Specialist (CRPS®)

Securities Licenses:

Series 65, Series 63

Financial Organization Memberships:

National Association of Personal Financial Advisors (NAPFA), Financial Planning Association (FPA), National Assoc Of EA's

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Firm's Number of Clients:

200

Firm's Number of Planning Clients:

Firm's Number of Managed Clients:

Compliance

Registered Investment Advisor:

Yes

Investment Advisor Representative:

Yes

I am an 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

Compensation & Fees

I am a fee-only financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$200,000

Compensation Methods:

Based on Assets, Hourly

Additional Details on Charges:

Rates vary depending on dollar amount of assets managed.

Prepared By:

Sean Monohan

Most Recent Update:

07/10/2008