Business Description

Synergy Financial Management, LLC (SFM) is a financial planning and Registered Investment Advisory firm headquartered in Seattle, WA. The firm specializes in providing fee-based comprehensive financial planning services and investment advice to individuals and businesses. Since Synergy Financial Management, LLC is a fee-based advisor; potential conflicts of interest regarding compensation are removed.

General Information

Gender:

Male

CRD#:

117201

Name of Custodial Firm:

Charles Schwab, TIAA-CREF, Accessor

States Licensed in:

All states, licensed nationally with SEC

States Willing to do Business in:

All states

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Non-Profit Organizations, Individual Investors, Businesses

Foreign Languages Serviced:

Spanish (some)

Education

Academic Background

BA, Finance - Seattle Pacific University (1990)

Studied finance abroad in Japan, Hong Kong, China, and Thailand.

Services

Investment Types:

Real Estate, Mutual Funds, Bonds, Stocks, Annuities, Insurance, Options & Futures, Alternative Investments, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, Chartered Life Underwriter (CLU®), Chartered Financial Consultant (ChFC®), Masters in Financial Services (MSFS)

Securities Licenses:

Series 65

Insurance and Annuity Licenses:

Health, Life, HMO, Annuity, Disability, Long Term Care

Financial Organization Memberships:

Paladin Registry, Society of Financial Services Professionals, CCIM Association, Financial Planning Association (FPA)

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:

150

Compliance

Registered Investment Advisor:

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

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$300,000

Compensation Methods:

Based on Assets, Hourly, Flat Fee

Fee % Based on Assets:

.5 to 1.0%

Additional Details on Charges:

Our fees are on a scale, based upon the size of the account.

Prepared By:

Joe Maas, CFP®, CLU, ChFC, MSFS

Most Recent Update:

10/02/2008