Robert Luna, CIMA®
Scottsdale, Arizona, 85260
Member Since 2007
Robert is a University of Pennsylvania, Wharton School of Business Alumnus. He graduated from Wharton’s prestigious Advanced Management Program and was honored to be granted a Wharton Fellow in 2011, thereby joining an elite community who has made a lifelong commitment to learning. Robert also earned the professional designation of Certified Investment Management Analyst (CIMA) at Wharton.
He holds the FINRA series 7, 4, 24, 65, and 63 licenses and has also completed advanced courses in risk management, financial planning and modern portfolio theory through the College of Financial Planning. Robert has over 14 years of experience in managing assets for high net worth investors.
My Location
Background Information
Years of Financial Experience
- 12
Education
- University of Pennsylvania, Wharton School (Fellow)
- University of Pennsylvania, Wharton School (AMP)
Certifications and Designations
- CIMA®
Association Memberships
- Investment Management Consultants 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)
- TD Ameritrade
- Pershing
- Prudential
Types of Financial Reports
- Performance Report (Quarterly)
- Custodial Report (Monthly)
- Newsletter (Monthly)
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 and upon request
- I review my clients' investment portfolios with them annually and upon request
Registration & Licensing
- CRD/IARD Number: 3165706
- Securities Registrations: Series 65, Series 63, Series 7, Series 24, 4
- Insurance Licenses: Life, Annuity, Long-Term Care, Disability, Health, Property & Casualty
Company Names
- Registered Investment Advisor: Surevest Capital Management
- Broker/Dealer: Crown Capital Securities
Fiduciary Status
- Acknowledged Fiduciary in advisory relationships
Compliance Record
- No Disclosures
Criminal Record
- No Disclosures
Planning Services
- Financial Planning, Retirement, College Funding, Estate, Charitable, Tax, Wealth Accumulation. Current income. Tax-deferred investing.
Investment Services
- Strategy Development, Written investment policy, Asset allocation, Performance Reporting, Tax Efficient Strategies, Alternative Investments
Investment Products
- Mutual Funds, Securities, Hedge Fund, Derivatives, Commodities, Currencies, REITs
Insurance Products
- Life, Fixed Annuity, Variable Annuity, Long-Term Care
Visit Website - http://www.svwealth.com
