Mark Roberts
Cincinnati, Ohio, 45214
Member Since 2006
I am proud of the personal relationships established with each of my clients. I strive to build an optimum balance between wealth creation and wealth preservation. The bottom line is understanding your personal goals and unique situation in life. Only then can I tailor an investment strategy that meets your requirements for growth and security.
My Location
Background Information
Years of Financial Experience
- 28
Education
- University of cincinnati (BA Economics)
- Miami University (MA Economics)
Certifications and Designations
- RFC®
Methods of Compensation
- Financial Planning: Hourly fee
- Investment Services: Asset-based fee, Fixed fee, Commissions (Insurance)
Full Disclosure
- I practice full disclosure for credentials, ethics, business practices, compensation, potential conflicts of interests, and financial services.
Primary Custodian(s)
- Fidelity/National Financial Srvs
Additional Business Practices
- 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 quarterly
- I review my clients' investment portfolios with them quarterly
Registration & Licensing
- CRD/IARD Number: 1073632
- Securities Registrations: Series 63
- Insurance Licenses: Life, Annuity
Company Names
- Broker/Dealer: None
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
- All 50 States
Planning Services
- Financial Planning, Retirement, Estate, Tax
Investment Services
- Strategy Development, Written investment policy, Asset allocation, Risk Management, Performance Reporting, Tax Efficient Strategies, Review Current Portfolios
Investment Products
- Mutual Funds, Securities, REITs
Insurance Products
- Life, Fixed Annuity
Visit Website - http://www.waterston-ic.com
