Firm Start Year

CRD#

• 2153443

Firm CRD#

• 125004

States Licensed in

• All 50 States

Years of Experience in Financial Services

• 30

Number of Years with Current Firm

• 2

Work Experience

• Smith Barney, Financial Consultant. Bank of America / Merrill Lynch - Managing Director, Bosotn MA 2001 - 2018

Work with the following types of clients

• Investment Clubs, Businesses, Individual Investors, Non-Profit Organizations

Advisory Services Provided

• 401K Rollovers, Investment Advice & Management, Money Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Wealth Management, Financial Planning, Portfolio Management, Retirement Planning, Financial Advice & Consulting

Registered Investment Advisor

• Yes

Investment Advisor Representative

• Yes

Acknowledged fiduciary

• Yes

Compliance Disclosures in Last 5 years

• Have a clean record

Criminal Disclosures in Last 5 years

• Have a clean record

Securities Licenses

• Series 65, Series 63

Fee Structure

• Fee-Based

Minimum Portfolio Size for New Managed Accounts

• $100,000.00

Bachelor of Arts -

• Tufts University
  09/10/1987 - 05/10/1991