Business Description

Our purpose is to provide complete financial analysis, plan design and implementation services to our clients.

In doing so we...

Assist our clients in the management of their risks and expenses for the balanced and efficient utilization of their resources so that they may fully realize their goals and objectives to meet both their current, and their future needs.

We vow to do our utmost in proving ourselves as a trusted source of no-nonsense, clear, concise, and unbiased information and guidance to our clients.

For nearly 25 years our clients have continued to rely on us because they know they can count on us to put their interests first.

General Information

Gender:

Male

CRD#:

2035061

Firm CRD#:

3870

Insurance License#:

0000756758

Name of Broker/Dealer:

Lincoln Financial Securities Corporation

States Licensed in:

TN, SC, VA

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Individual Investors, Non-Profit Organizations, Businesses

Education

Academic Background

University of Maryland (Engineering Studies)
American College (Financial Planning Studies)

Services

Investment Types:

Professional Investment Management Services, Exchange Traded Funds (ETFs), Bonds, Mutual Funds, Insurance, Annuities, Stocks, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, Life Underwriter Training Council Fellow (LUTCF)

Securities Licenses:

Series 63, Series 7, Series 6

Insurance and Annuity Licenses:

Variable Annuity, Long Term Care, Variable Life, Disability, Property, Casualty, Accident, Annuity, Health, HMO, Life

Financial Organization Memberships:

National Association of Health Underwriters, National Association of Insurance and Financial Advisors (NAIFA), Society of Financial Services Professionals

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Advisor's Number of Clients:

1100

Advisor's Number of Managed Clients:

Advisor's Number of Planning Clients:

Assets Managed by Advisor:

2,500,000.00

Compliance

Registered Representative:

Yes

I am an acknowledged fiduciary:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$50,000.00

Compensation Methods:

Commissions, Hourly, Flat Fee, Based on Assets

Fee % Based on Assets:

Hourly Rate:

$200.00

Additional Details on Charges:

Fee Based Accounts ($100,000.00 Minimum)
Total Assets less than $500,000.00..... 1.0% of Account Assets
Total Assets of $500,000.00 or more... 0.5% of Account Assets

Other Accounts:
Negotiated

Prepared By:

Quentin L. Ledford