James Applegate, CFP®, AAMS®
Fort Myers, Florida, 33907
Member Since 2006
Established in 1982, Financial Services Advisory has more than 25 years experience successfully managing client assets using no-load mutual fund investments and exchanged-traded funds. Principals hold the CFP® and CFA designation and the staff has decades of experience in the financial services industry.
At FSA, we know there are times to make money and times to keep it. The key to successful investing is knowing when and what to buy and when and what to sell. Our 25-year performance record reflects the investment success in both rising and falling investment climates.
Visit us at www.FSAinvest.com
My Location
Background Information
Years of Financial Experience
- 23
Education
- Embry-Riddle Aeronautical University (Bachelors Degree (cum laude))
Certifications and Designations
- CFP®
- AAMS®
Association Memberships
- National Assoc. of Active Investment Managers
- Financial Planning Association
Methods of Compensation
- Financial Planning: Asset-based fee
- Investment Services: Asset-based fee
Full Disclosure
- I practice full disclosure for credentials, ethics, business practices, compensation, potential conflicts of interests, and financial services.
Primary Custodian(s)
- Schwab
Types of Financial Reports
- Performance Report (Quarterly)
- Market Environment Report (Monthly)
- Newsletter (Quarterly)
Additional Business Practices
- I provide a written agreement to clients before I provide any advice or services.
- I work with remote clients over the telephone and Internet
- My clients have online access to their financial data
- I review my clients' financial plans with them upon request
- I review my clients' investment portfolios with them quarterly and upon request
Registration & Licensing
- CRD/IARD Number: 132510
- Securities Registrations: None Required
- Insurance Licenses: None
Company Names
- Registered Investment Advisor: Financial Services Advisory, Inc.
- Broker/Dealer: Charles Schwab & Co.
Fiduciary Status
- Acknowledged Fiduciary in advisory relationships
Compliance Record
- No Disclosures
Criminal Record
- No Disclosures
Registered or licensed to provide financial advice, services, and products
- Florida
Planning Services
- Financial Planning Advice
Investment Services
- Strategy Development, Asset allocation, Re-Balancing, Risk Management, Performance Reporting
Investment Products
- Mutual Funds, ETFs
Visit Website - http://www.FSAinvest.com
