Paul Stanley

1. What are your firm names?

2. What is your type of RIA registration?

• SEC

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

• Member Firm or Team

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

• Owner

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

• 12 Years

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

7. Do you belong to any industry associations?

• No

8. What is your CRD or IARD number?

• 2753911

9. Do you hold any active securities licenses?

• Series 7, Series 65, Series 66,

10. Which categories of financial services do you provide?

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

11. Which planning services do you provide?

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

12. Which investment advisory services do you provide?

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

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

• Securities in Separate Accounts
• Mutual Funds
• Exchange Traded Funds
• Hedge Funds
• Real Estate Partnerships
• CDs

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?

• $

16. What is minimum fee for your planning services?

• Did Not Provide

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

• $100,000

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

• Did Not Provide

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

• Fixed Fees, Asset Based Fees,

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

• Fixed Fees, Asset Based Fees, Commission (Investment), Commission (Insurance),

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

• Yes

22. Do you hold any active insurance licenses?

• Life, Fixed Annuity, Variable Annuity, Health Disability, Long Term Care,

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

• Yes

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

• Yes

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

• California
• Connecticut
• Florida
• Maine
• Maryland
• Massachusetts
• New Hampshire
• New York
• North Carolina

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

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

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

• Investment Disclosures: No
• Insurance Disclosures: No

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

• Misdemeanors: No
• Felonies: No

30. How do investors view your ADV Part II?

Available Upon Request

31. What languages do you speak fluently?

• English

32. What is your primary role?

• Planner/Advisor

33. Which investment products do you sell?

• Mutual Funds
• REITs
• Other

34. Which insurance products do you sell?

• Life
• Fixed Annuities
• Variable Annuities
• Long Term Care
• Disability Income

35. Do you provide tax advice and services?

• No

36. Do you provide legal advice and services?

• No

37. Do you provide any limited engagement services?

• Financial Plan Reviews
• Investment Portfolio Reviews

38. What types of clients do you work with?

• Individuals
• Companies (Pension)
• Companies (Non-Pension)

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

• Investor Preference

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

• FCC

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

• Performance (Quarterly)
• Brokerage Statement (Monthly)
• Market Environment (Not Applicable)
• Newsletters (Quarterly)
• Other (Not Applicable)

42. General Comments:

Did Not Provide

Certification