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PALADIN RESEARCH REPORT FOR:

Rick Willoughby

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Telephone Advisor
480.704.7431

I. Snapshot

A. Registry Member
  • Since 2008
B. Years of Experience
  • 17
C. College Degrees
  • College for Financial Planning - Accredited Asset Management Specialist
  • College for Financial Planning - Accredited Wealth Management Advisor
D. Certifications
  • AAMS®, AWMA®
E. Financial Fiduciary
  • Yes
F. Business Philosophy
  • Read Business 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.

G. Asset Requirement
  • None

II. Contact Information

A. Key Contact
  • Rick Willoughby
B. Main Location
  • Phoenix, Arizona, 85044
C. Telephone
  • 480.704.7431

III. Internet

B. Social Connections
C. View Articles

IV. Firm(s)

A. Name of Firm
  • Symphony Financial Services LLC
B. Relationship to Firm
  • Independent Contractor
C. Name of RIA
  • Independent Financial Group LLC
D. Name of Broker/Dealer
  • Independent Financial Group LLC
E. Name(s) of Custodian(s)
  • Pershing
  • TD Ameritrade

V. Credentials

A. Years of Financial Experience
  • 17 Years
B. College, Degrees, Years
  • College for Financial Planning - Accredited Asset Management Specialist
  • College for Financial Planning - Accredited Wealth Management Advisor
D. Financial Industry Associations (Active Memberships)
  • FINRA

VI. Registration, Licensing,
Compliance

A. RIA/IAR Registration
  • IAR
B. Type of RIA Registration
  • SEC
C. Industry Licenses
  • Securities License(s)
  • Insurance License(s)
D. Registration & License Numbers
  • CRD: 1238458
  • IARD: None
  • Insurance: 85862
E. State Licences
  • Financial Advice, Services for Fees: See List
  • Investment Products for Commission: See List
  • Insurance Products for Commission: Arizona
F. Compliance Record (Investment)
  • Yes
G. Compliance Record (Insurance)
  • No Disclosures
H. Criminal Disclosure(s)
  • None
I. Additional Disclosure(s)
  • 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... View More
    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
J. View our ADV(s)
K. Links

VII. Business Data & Practices

A. Business Philosophy
  • Read Business 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.

B. Minimum Asset Requirement
  • None
C. Number of Current Clients
  • Available Upon Request
D. Assets (Management, Advisement)
  • Available Upon Request
E. Methods of Compensation
  • Asset-Based Fee
F. Methods of Communication
  • Face-to-Face Meetings
  • Telephone
  • Email
  • Skype/Voice
  • Skype/Video-Voice
G. Types of Reports (Frequency)
  • Performance (Quarterly)
  • Brokerage Statement (Monthly)
  • Market Environment (Monthly)
  • Newsletters (Monthly)
  • Other: Weekly market updates by request
H. Second Language(s)
  • None
I. Value Statement
  • Not Available

VIII. Clients & Services

A. Types of Clients
  • Individuals & Couples (Working Years)
  • Individuals & Couples (Retirement Years)
  • Business Pension Plans
  • Other: 1031 Candidates
  • Business (Taxable)
  • Endowments & Foundations
B. Types of Financial Services
  • Planning Advice & Services
  • Investment Advice & Services
  • Insurance Products
  • Tax Advice & Services
  • Other
C. Discretionary Asset Management
  • No
D. Limited Engagement Services
  • None
  • Financial Plan Reviews
  • Investment Portfolio Reviews
  • Captive Insurance Company counsel

IX. Certification

Advisor Name
  • Rick Willoughby
Most Recent Update:
  • Apr 21, 2016

Other

Business Planning, Captive Insurance Company consultation.