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Symphony Financial Services LLC

Rick Willoughby

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Registry Member Since 2008

About Me

Type of Organization
  • Sole Practitioner
Name of RIA
  • Independent Financial Group LLC
Relationship to RIA
  • Independent Contractor
Broker/Dealer Name
  • Independent Financial Group LLC
Years of Experience
  • 16 Years
College Degrees
  • College for Financial Planning - Accredited Asset Management Specialist
  • College for Financial Planning - Accredited Wealth Management Advisor
Association Memberships
  • FINRA
Registrations & Licenses
  • RIA/IAR Registration
  • Securities License(s)
  • Insurance License(s)
CRD Number
IARD Number
Insurance Number
  • 85862
State Licenses (Investments)
State Licenses (Insurance)
View ADV
Compliance Disclosures
  • Investment Disclosures
Criminal Disclosures
  • None
Financial Fiduciary
  • Yes
Second Language(s)
  • None

About My Firm

Location
  • Phoenix, Arizona, 85044
Telephone
  • 480.704.7431
Website
Number of Clients
  • Available Upon Request
Amount of Assets
  • Available Upon Request
Minimum Asset Requirement
  • None
Types of Fees
  • Hourly Fee
  • Fixed Fee
  • Asset-Based Fee
Types of Commission
  • Commissions (Investment Products)
Advice & Services for Fees
  • Planning Advice & Services
  • Investment Advice & Services (Fees)
  • Insurance Products
  • Tax Advice & Services
  • Other
Types of Clients
  • Individuals
  • Pension Plans
  • Endowments
  • Other
  • Foundations
  • Public Funds
  • Businesses
Limited Engagement Services
  • None
  • Financial Plan Reviews
  • Investment Portfolio Reviews
  • Captive Insurance Company counsel
Investment Decision-Making
  • Yes
Primary Custodian(s)
  • Pershing
  • TD Ameritrade
Types of Reports (Frequency)
  • Performance (Quarterly)
  • Brokerage Statement (Monthly)
  • Market Environment (Monthly)
  • Newsletters (Monthly)

Other: Weekly market updates by request

My Philosophy My Disclosures

I certify the information in this research report is accurate and current.

Advisor Name: Rick Willoughby
Most Recent Update: Apr 14, 2015

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Other

Business Planning, Captive Insurance Company consultation.