Business Description

We specialize in managing money for those who are planning for or who are currently retired. We have unique retirement planning software which helps remove a client's tendancy to make mistakes when confronted with volatile markets. We have access to a number of professional money managers who can manage money in accordance with the needs and goals of our clients. Using these managers and other proprietary techniques, we can create a dynamic portfolio particulary suited for each investor. Our goal is to create a plan so that one can enjoy their retirement while leaving the investment portofolio in the hands of the professionals.

General Information

Gender:

Male

CRD#:

2129964

Name of Broker/Dealer:

Kovack Securities, Inc.

Name of Custodial Firm:

National Financial Services

States Licensed in:

MA, RI, CT, CA, FL, NH, VT, NJ, NY, SC

States Willing to do Business in:

All States

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Individual Investors, Businesses

Services

Investment Types:

Mutual Funds, Exchange Traded Funds (ETFs), Alternative Investments, Bonds, Insurance, Annuities, Stocks, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

Registered Financial Consultant (RFC)

Securities Licenses:

Series 66, Series 7, Series 65

Insurance and Annuity Licenses:

Variable Life, Long Term Care, Variable Annuity, Casualty, Life, Health, Annuity, Property

Financial Organization Memberships:

National Association of Insurance and Financial Advisors (NAIFA)

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Firm's Number of Clients:

12-150

Compliance

Registered Investment Advisor:

Yes

Registered Representative:

Yes

Investment Advisor Representative:

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:

$25,000

Compensation Methods:

Based on Assets, Commissions

Fee % Based on Assets:

.60-2.15%

Prepared By:

Brian Drake

Most Recent Update:

09/11/2008