| Advisor Profile |
|
 |
| Research This Advisor |
|
| Request More Information |
|
|
|
|
|
|
Business Description |
| We are an Accounting and Financial planning firm located in Lenexa KS. We have been in business for over 15 years serving the Kansas City Area and surrounding communities. We work primarily with small business owners and individuals looking for financial planning guidance. |
|
| |
|
|
General Information |
|
|
|
|
|
|
| Name of Broker/Dealer: |
ING Financial Partners
|
|
| Name of Custodial Firm: |
Pershing
|
|
| States Licensed in: |
KS, MO, OK, NE
|
|
| States Willing to do Business in: |
All
|
|
| Years of Experience in Financial Services: |
4
|
|
| Number of Years with Current Firm: |
16
|
|
| Work Experience: |
I have been a CPA since 1983 and CFP since 1985. I have been creating financial plans for clients for over 20 years.
|
|
| I work with the following types of clients: |
Businesses, Individual Investors, Non-Profit Organizations, Investment Clubs
|
|
| |
|
Education |
| Academic Background |
| |
| I graduated from Kansas State University with a B.S. in Accounting. |
|
| |
|
Services |
| Investment Types: |
Mortgages & Real Estate, Alternative Investments, Mutual Funds, Exchange Traded Funds (ETFs), Commodities, Bonds, Insurance, Annuities, Stocks
|
|
| |
|
Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Certified Public Accountant (CPA), CERTIFIED FINANCIAL PLANNER (CFP®)
|
|
| Securities Licenses: |
Series 7, Series 66
|
|
| Insurance and Annuity Licenses: |
Disability, Long Term Care, Variable Annuity, Variable Life, Life, Annuity
|
|
| |
|
Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
|
|
| I work with clients as part of a team: |
Yes
|
|
| |
|
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-based financial professional: |
Yes
|
|
| Minimum Portfolio Size for New Managed Accounts: |
$100,000
|
|
| Compensation Methods: |
Commissions, Based on Assets
|
|
| |
|
| |
| |
| Prepared By: |
Mitchell Fiser |
| Most Recent Update: |
06/26/2008 |
Frequently Asked Questions |
|
| Q. |
Do you have a customer satisfaction or refund policy? |
| |
No, we do not have a customer satisfaction policy or refund policy. However, we treat our customers satisfaction with the utmost importance. We strive to deliver the best customer experiance possible. |
|
| Q. |
What are your qualifications? What is your education background? |
| |
I graduated with a B.S. in accounting from Kansas State University, recieved my CPA certification in 1983 and my CFP certification in 1985. |
|
| Q. |
What is your approach to financial planning? |
| |
Our approach is to get to know our clients financial and personal goals and aspirations. We feel that by really getting to know what is important to each client, we can do a better job solving the issues related to each individual. |
|
| Q. |
What services do you offer? |
| |
We are an independent financial planning firm and we can offer basically every type of financial product. We also are licensed to provide all types of insurance products. We provide tax and accounting services and also do credentialing and billing for physicians. |
|
| Q. |
How many clients do you currently manage? |
| |
Our group has about 450 total clients. |
|
| Q. |
Will you be the only person working with me? |
| |
Nathan Fiser is also a licensed Financial Advisor that works in our group. We work with a team approach that we believe provides a higher level of customer service. |
|
| Q. |
How are you compensated? How will I pay for your services? |
| |
We can be compensated in two different ways. We can use a fee based arragement in which we charge an annual percentage based on the total assets invested. We can also be compensated in a commission based manner. One is not always better than the other. We analyze each specific situation with the client and let them make the decision on how they would like to pay for our services. |
|
| Q. |
If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
| |
Yes, we will always make sure that you approve every trade within your account. |
|
| Q. |
Do you offer any guaranteed results? |
| |
No. In the profession of finanical planning there are never any absolute guarantees when it comes to investment returns. We do guarantee that we will treat your account as if we are investing our own money. |
|
| Q. |
How much risk should I be willing to take? |
| |
The amount of risk you should be willing to take is based on each clients individual situation and preferences. |
|
| Q. |
Have you ever been charged with any breaches? |
|
| Q. |
What carrier(s) do you represent? |
| |
We are independent and thus can represent virtually any company. |
|
| Q. |
Are there any pre-existing conditions that you can not cover? |
| |
This is a specific question that should be asked about each life insurance company. |
|
| Q. |
How long does it take to complete the application and approval process? |
| |
It can take any where from 30-75 days. |
|
| Q. |
Is there a maximum age that you can insure? |
|
| Q. |
What services do you provide? What are your specialties? |
| |
We are an independent financial planning firm and we can offer basically every type of financial product. We also are licensed to provide all types of insurance products. We specialize in 401k rollovers and creating financial plans for individuals. We also consult on a lot of pension planning for small businesses. |
|
| Q. |
What is your experience? How many clients do you currently manage? |
| |
I graduated with a B.S. in accounting from Kansas State University, recieved my CPA certification in 1983 and my CFP certification in 1985. I have been creating Financial plans for clients for over 20 years. We currently manage about 100 individual clients and 35 pension plans. |
|
| Q. |
What financial institution(s) do you represent? |
| |
We are an independent financial advisor thus we can use a virtually limitless number of investments. |
|
| Q. |
How do you charge for your services? |
| |
We can be compensated in two different ways. We can use a fee based arragement in which we charge an annual percentage based on the total assets invested. We can also be compensated in a commission based manner. One is not always better than the other. We analyze each specific situation with the client and let them make the decision on how they would like to pay for our services. |
|
| Q. |
Do you provide a free initial consultation? |
|
| Q. |
Why should I choose you as my financial advisor? |
| |
We believe that our experience and attention to customer service sets us apart in the world of financial planning. |
|
| Q. |
What are your management fees? |
| |
This varies by account size. |
|
| Q. |
What kind of plans do you specialize in? |
| |
401ks with less than 500 participants. |
|
| Q. |
Do you have a minimum requirement for number of employees or total investment value? |
| |
No. We actually do quite a few start up plans with no assets in the beginning. |
|
| Q. |
What type of plans do you offer? |
| |
We are independant financial advisors and thus can use virtually any plan. |
|
| Q. |
Do you offer any additional services? |
| |
We offer all types of financial planning services. |
|
| Q. |
What are your qualifications? |
| |
I graduated with a B.S. in accounting from Kansas State University, recieved my CPA certification in 1983 and my CFP certification in 1985. I have been creating Financial plans for clients for over 20 years. |
|
| Q. |
What is your approach to Education Planning? |
| |
Our approach is to get to know our clients financial goals related to educational planning. We feel that by really getting to know what is important to each client, we can do a better job solving the issues related to each individual. |
|
| Q. |
How long does the process of setting up an Education Plan usually take? |
| |
One or two face to face meetings. |
|
| Q. |
What financial institutions do you represent? |
| |
We are an independent financial advisor thus we can use a virtually limitless number of investments. |
|
| Q. |
How many years of experience do you have? |
|
| Q. |
What are your fees for this service? |
| |
Typically we use a commission based fee schedule for this service. |
|
| Q. |
How many Education Planning clients do you currently manage? |
|
| Q. |
Why should I work with you on setting up an Education Plan? |
| |
I have many years of experience in this area. The fact that I am also a CPA helps me understand and explain to clients the tax aspects that they must consider when setting up an educational plan. |
|
| Q. |
Do you provide a free initial consultation? |
|
| Q. |
What are your qualifications? |
| |
I graduated with a B.S. in accounting from Kansas State University, recieved my CPA certification in 1983 and my CFP certification in 1985. I have been creating Financial plans for clients for over 20 years. |
|
| Q. |
What is your approach to 401 K plan rollovers? |
| |
Our approach is to get to know our clients financial and personal goals and aspirations. We feel that by really getting to know what is important to each client, we can do a better job solving the issues related to each individual. |
|
| Q. |
How long does the process of rolling over a 401K plan usually take? |
| |
It can take between 15-45 days. It can really vary based on how long the tranfering company takes to release the funds. |
|
| Q. |
What financial institutions do you represent? |
| |
We are an independent financial advisor thus we can use a virtually limitless number of investments. |
|
| Q. |
How many years of experience do you have? |
| |
I have over 20 years of financial planning experience |
|
| Q. |
What are your fees for this service? |
| |
We can be compensated in two different ways. We can use a fee based arragement in which we charge an annual percentage based on the total assets invested. We can also be compensated in a commission based manner. One is not always better than the other. We analyze each specific situation with the client and let them make the decision on how they would like to pay for our services. |
|
| Q. |
How many 401K rollover clients do you currently manage? |
| |
I would guess that we have over 50. |
|
| Q. |
Why should I roll over my 401K plan to your firm? |
| |
I have many years of experience in this area. The fact that I am also a CPA helps me understand and explain to clients the tax aspects that they must consider when exploring their options with regard to a 401k plan rollover. |
|
| Q. |
Do you provide a free initial consultation? |
|
|
|
