Lynn Evans

1. What are your firm names?

• Registered Investment Advisor

  Northeastern Financial Consultants, Inc.

2. What is your type of RIA registration?

• SEC

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

• Did Not Provide

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

• Employee

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

• 35 Years

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

7. Do you belong to any industry associations?

• Women’s Resource Center of Scranton
• National Association of Women Business Owners
• National Association of Personal Financial Advisors

8. What is your CRD or IARD number?

• 854700

9. Do you hold any active securities licenses?

• 65

10. Which categories of financial services do you provide?

• Financial Planning Advice & Services
• Investment Advice & Services
• Insurance Advice & Services
• Other

11. Which planning services do you provide?

• Financial Plans
• Retirement Plans
• Estate Plans
• Charitable Plans
• Other

12. Which investment advisory services do you provide?

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

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

• Did Not Provide

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

• Did Not Provide

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

• Did Not Provide

16. What is your minimum fee for your planning services?

• Did Not Provide

17. What is your minimum fee for your investment services?

• Did Not Provide

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

• $500,000

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

• Did Not Provide

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

• Fixed Fees
• Hourly Fees

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

• Asset Based Fees

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

• Yes

23. Do you hold any active insurance licenses?

• Life, Disability, Health

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

• Yes

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

• Yes

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

• New Jersey
• Pennsylvania

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

• Did Not Provide

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

• Did Not Provide

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

• Investment Disclosures: No
• Insurance Disclosures: No

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

• Misdemeanors: No
• Felonies: No

31. How do investors view your ADV Part II?

• Available Upon Request

32. Additional Disclosure Statements or Comments

• Also registered in NJ

33. What languages do you speak fluently?

• Did Not Provide

34. What is your primary role?

• Did Not Provide

35. Which investment products do you sell?

• Mutual Funds
• Hedge Funds
• Private Placements
• Other

36. Which insurance products do you sell?

• None (I do not sell insurance products)

37. Do you provide tax advice and services?

• No

38. Do you provide legal advice and services?

• Did Not Provide

39. Do you provide any limited engagement services?

• Did Not Provide

40. What types of clients do you work with?

• Individuals

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

• Did Not Provide

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

• TD Ameritrade

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

44. General Comments:

Did Not Provide

Certification