Business Description

To help clients maintain and improve their standard of living by providing the investment products and services that they need, the personal service that they deserve and the unbiased advice that is morally and professionally required.

General Information

Gender:

Male

CRD#:

2637053

Insurance License#:

1017922

Name of Broker/Dealer:

Raymond James Financial Services, Inc.

States Licensed in:

CT, MA, NY, OR, TX, SC, VT, FL

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

We provide personalized financial services and tailored recommendations that help you achieve your financial goals. Our hallmark has always been providing the highest level of service, working closely with our clients to maximize their risk-adjusted returns. We will never try to "sell" you anything and our only method of compensation is a fee. Your interests always come first while helping you and your family maintain and improve your standard of living by providing the investment products and services you need, the personal service you deserve and the unbiased advice that is morally and professionally required.

I work with the following types of clients:

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

Education

Academic Background

Bachelors degree in Finance - Salve Regina University

Services

Investment Types:

Options, Exchange Traded Funds (ETFs), Alternative Investments, Bonds, Stocks, Mutual Funds, Insurance, Annuities, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

Accredited Asset Management Specialist (AAMS®), Chartered Mutual Fund Counselor (CMFC®)

Securities Licenses:

Series 9, Series 7, Series 10, Series 31, Series 63, Series 66

Insurance and Annuity Licenses:

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

Financial Organization Memberships:

Paladin Registry

Firm Information

Number of Advisors in Office:

Up to 10 employees

Advisor's Number of Clients:

Advisor's Number of Managed Clients:

Advisor's Number of Planning Clients:

Assets Managed by Advisor:

$25,000,000.00

Compliance

Registered Investment Advisor:

Yes

Registered Representative:

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

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$50,000

Compensation Methods:

Based on Assets

Fee % Based on Assets:

Additional Details on Charges:

Minimum of $50,000 to enter fee based account.

Prepared By:

James McManus

Most Recent Update:

09/19/2008