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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 or Years
  • 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 (Main Office)
  • 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

We are Independent, the client will always be the center of our attention and will always come first over all else. We will forever maintain our independence from any and all financial product providers and be beholding to none except our client. It is our professional mission to position our clients where they are most likely to achieve financial success. Continuous education on the broadest possible range of investment products and how to properly apply them to solve your real-life situations.

My Disclosures
Some professionals and firms have disclosures.

Rick Willoughby is a Registered Principal, Brice Willoughby is a Registered Representative both offering securities and advisory services through Independent Financial Group, LLC, a registered broker-dealer and investment advisor. Member FINRA and SIPC. Independent Financial Group, LLC and Symphony Financial Services, LLC are not affiliated. 15022 S 40th Pl Phoenix, AZ 85044

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

Advisor Name: Rick Willoughby
Most Recent Update: Jul 15, 2015

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Business Planning, Captive Insurance Company consultation.