| Advisor Profile |
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| Name: |
David Seaton |
| Phone Number: |
(866) 727-1517 |
| Website: |
Visit Website
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| Disclaimer |
| Securities offered through LPL Financial, a Registered Investment Adviser. Member FINRA/SIPC. |
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Business Description |
Our mission is to help our clients:
Create and Grow Wealth through appropriate investments, adequate life insurance, and minimizing income tax with investments.
Protect and Preserve Wealth through:
- Analysis of Overall Investment Portfolio (asset allocation management and diversification management)
- Analysis of Overall Insurance Plan (Life, Disability, Long-Term Care and Liability)
- Tax Sensitivity Management
Plan the Distribution of Wealth During Life:
- Qualified Retirment Plan/IRA
- Corporate Executive Stock Options
- Business Succession Plan
- Powers of Attorney
- Gifting to children/Descendants
- Charitable Giving
Plan the Distribution of Wealth at Death:
- Titling of Assets
- Executor/Trustee
- Distribtion to Spouse, descendants, and others
- Charitable Inclinations at Death |
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General Information |
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| Name of Broker/Dealer: |
LPL Financial Corporation
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| States Licensed in: |
AR, CO, CA, LA, MO, OH, TN, TX
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| Years of Experience in Financial Services: |
9
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| Number of Years with Current Firm: |
9
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Education |
| Academic Background |
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BS, Business Administration - University of Arkansas
MBA - University of Arkansas |
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Services |
| Investment Types: |
Alternative Investments, Options & Futures, Mutual Funds, Insurance, Annuities, Stocks, Bonds
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Qualifications & Memberships |
| Securities Licenses: |
Series 7, Series 24, Series 65, Series 63
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| Firm's Number of Clients: |
50
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Compliance |
| Investment Advisor Representative: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$0
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| Compensation Methods: |
Based on Assets, Commissions, Flat Fee, Hourly
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| Additional Details on Charges: |
$1,000,000 Plus - Negotiable
$750,000 - $1,000,000 - 1.00%
$500,000 - $750,000 - 1.25%
$250,000 - $750,000 - 1.5%
$100,000 - 250,000 - 1.75%
$25,000 - $100,000 - 2.0%
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| Prepared By: |
David Seaton |
| Most Recent Update: |
05/30/2008 |
Frequently Asked Questions |
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