Jubin Keyvan

1. What is your type of RIA registration?

• SEC

2. Are you a sole practitioner or a member of a firm or team?

• Sole Practitioner

3. What is your relationship to your Registered Investment Advisor?

• Independent Contractor

4. What are your years of applicable financial service experience?

• 17 Years

5. Do you have any college degree(s)?

6. Do you belong to any industry associations?

• No

7. What is your CRD or IARD number?

• 2274097

8. Do you hold any active securities licenses?

• Series 65
• Series 63
• Series 7
• Series 6

9. Which categories of financial services do you provide?

• Financial Planning Advice & Services

10. Which planning services do you provide?

• Financial Plans
• Retirement Plans
• College Plans
• Estate Plans
• Tax Plans
• Charitable Plans
• Other

11. Which investment advisory services do you provide?

• Investment Strategy & Policy
• Risk Management
• Rebalancing
• Asset Allocation
• Money Manager Selection
• Performance Reports

12. If you make investment decisions for clients, how do you invest their assets?

• Did Not Provide

13. How many clients (not accounts) do you currently service?

• Did Not Provide

14. What amount of client assets is currently under your management or advisement?

• Did Not Provide

15. What is minimum fee for your planning services?

• Did Not Provide

16. What is your minimum asset requirement for your investment services?

• $50,000

17. What is your minimum net worth requirement for your planning services?

• Did Not Provide

18. What type of compensation do you receive for your planning services?

• Fixed Fees
• Hourly Fees

19. What type of compensation do you receive for your investment advisory services?

• Asset Based Fees
• Commissions (Investment Products)
• Commissions (Insurance Products)

20. Do you work with remote clients over the Internet and telephone?

• Yes

21. Do you hold any active insurance licenses?

• Life
• Annuity
• Long-Term Care
• Disability
• Health
• Property & Casualty
• Other

22. Are you a Registered Investment Advisor or an Investment Advisor Representative?

• Yes

23. Do you acknowledge you are a fiduciary when you provide financial advice and services for fees?

• Yes

24. What states are covered by your registration(s) to sell investment advisory services?

• Did Not Provide

25. What states are covered by your registration(s) to sell investment and brokerage products?

• Did Not Provide

26. What states are covered by your registration(s) to sell insurance products?

• Did Not Provide

27. Do you have any compliance disclosures for the past 5 years?

• Investment Disclosures: No
• Insurance Disclosures: No

28. Do you have any criminal disclosures since you became an adult?

• Misdemeanors: No
• Felonies: No

29. How do investors view your ADV Part II?

Available Upon Request

30. What languages do you speak fluently?

• Did Not Provide

31. What is your primary role?

• Did Not Provide

32. Which investment products do you sell?

• Did Not Provide

33. Which insurance products do you sell?

• Did Not Provide

34. Do you provide tax advice and services?

• No

35. Do you provide legal advice and services?

• Did Not Provide

36. Do you provide any limited engagement services?

• Did Not Provide

37. What types of clients do you work with?

• Individuals

38. Where does your first meeting with a prospective client take place?

• Both locations

39. Which companies act as custodians for your clients assets?

• Pershing

40. What types of reports do you provide your clients and what is the frequency?

41. General Comments:

Certification