Glenn WesselCredentials: CFA®, CPA, CFP®
Asheville, North Carolina, 28801
The straight scoop: If you're like me, you don't like partial truths, misleading statements, puffery, or anything else that smacks of bias. In that vein, I have taken great pains to create a fully independent investment advisory and financial planning practice that is honest and transparent to its core. If you'll spend a few minutes on our website (button above), I am certain you will find our approach to be straightforward and absolutely sincere.
1. What are your firm names?
Registered Investment Advisor
Wessel Investment Counsel, LLC
Shareholders Service Group (but we don\'t represent them, we represent you.)
2. How is your RIA registered?
- State: North Carolina
3. What type of practice do you have?
- Member of a Firm
4. What is your relationship to your RIA?
5. What are your years of financial services experience?
- 23 Years
6. Do you have one or more degrees from an accredited college or university?
7. Are you a current member of one or more financial service industry associations?
- CFA Institute
- CFP Board of Standards, Inc.
- NC Board of CPA Examiners
8. What are your license and registration numbers?
- CRD #: 1430479 View BrokerCheck
9. What are your current registrations and licenses?
Details for Other: The CFA and CFP credentials exempt me from Series, 6, 7, 65, and 66.
10. Do you acknowledge you are a fiduciary when you provide financial advice and services for fees?
11. In what states are you licensed or registered to sell investment services and products for fees or commissions?
- North Carolina
12. In what states are you licensed to sell insurance products for commissions?
13. In the past five years, do you have any disclosures on your investment or insurance compliance records?
- Investment Disclosures: No
- Insurance Disclosures: No
14. Since you became an adult, do you have any criminal disclosures (misdemeanors/felonies)?
15. My ADV Part II is:
16. Do you have any additional disclosures?
17. What are your methods of compensation?
- Hourly Fee
- Fixed Fee
- Asset-Based Fee
18. Will you work with clients over the telephone and Internet?
19. What types of reports do you provide your clients and what is the frequency?
- Performance (Quarterly)
- Brokerage Statement (Monthly)
- Newsletters (Quarterly)
20. Will you meet with prospective clients at their locations?
21. Do you make investment decisions for your clients without their approval in advance?
22. Scope of Business: What is your current number of clients (not accounts)?
23. Scope of Business: What are your current assets under management or advisement? (Compensation is fees)
24. Do you have a minimum fee requirement?
25. Do you have a minimum asset requirement?
26. Do you speak any additional languages fluently?
27. Do you provide any limited engagement services?
- Planning Only (No investment services)
- Investment Portfolio Reviews
28. Which categories of financial services do you provide for fees? Another professional (CPA, estate attorney) may provide one or more of these services.
29. Do you sell investment or insurance products for commissions?
30. What types of clients do you work with?
31. Which custodian(s) take physical possession of your clients' assets? If applicable, name the top three in order of importance
- Shareholders Service Group, Inc. / Pershing, LLC
CertificationI certify all of the information in my professional profile is accurate and up-to-date.
Most Recent Update: Feb 24, 2014