Business Description

As an Independant Certified Financial Planner we provide the highest quality financial advisory service to clients. We build successful relationships with clients that are based on trust, open communication and integrity.

Every client has unique needs and we provide advice to them on their financial needs for both the present and for the future.

We work with people of all incomes and ages and balance their needs to achieve their financial goals.

We specialize in Individual and Corporate retirement Planning, College Funding, Capital Management and Long Term Care.

General Information

Gender:

Male

CRD#:

2247685

Insurance License#:

MD, VA, DC, PA, HI, NY, GA

Name of Broker/Dealer:

AXA-Advisors, LLC

Name of Custodial Firm:

LPL/Linsco Private Ledger

States Licensed in:

MD, DC, VA, HI, PA, NY, GA

States Willing to do Business in:

All

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

For over 30 years I have worked with clients to help them to meet their financial goals.

I work with the following types of clients:

Non-Profit Organizations, Individual Investors, Businesses

Foreign Languages Serviced:

Dutch

Education

Academic Background

Accounting/Finance/Tax

Services

Investment Types:

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

Qualifications & Memberships

Certifications, Accreditations & Designations:

Insurance License (Life & Health; Long Term Care; Specify below), Certified Financial Planner (CFP®)

Securities Licenses:

Series 66, Series 65, Series 63, Series 7, Series 6

Insurance and Annuity Licenses:

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

Financial Organization Memberships:

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:

350

Firm's Number of Planning Clients:

100

Firm's Number of Managed Clients:

100

Assets Managed by Firm:

Yes

Advisor's Number of Clients:

350

Advisor's Number of Managed Clients:

100

Advisor's Number of Planning Clients:

100

Assets Managed by Advisor:

45000000

Compliance

Registered Investment Advisor:

Yes

Registered Representative:

Yes

Investment Advisor Representative:

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-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

50000

Compensation Methods:

Based on Assets, Hourly, Commissions

Additional Details on Charges:

By agreement

Prepared By:

Basil Herzstein

Most Recent Update:

06/20/2008