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Jeffrey Wilcock, RFC

Seros Financial

2141 E. Broadway Rd.
Suite 220

Tempe, AZ 85282
(480) 9671155

Live your retirement by design not by default.

About Seros Financial

Most people only get one shot at retirement. That's why we help you take the guess work out of the process. Seros360? is a seven part mentoring approach to retirement.

1. Goals

We build a bridge from your idea of retirement to the real thing. What really matters most to you in retirement and understand the steps needed to reach your goals.

2. Risks

Living longer. Rising healthcare costs. Inflation. These are risks everyone faces during retirement. Working together, we can help you identify your risks and plan accordingly.

3. Investments

You need an investment strategy that takes into account your retirement goals, how you view risk, and your timeline for retirement. We take a dynamic money management approach in activley monitoring and adjusting your portfolio.

4. Income

Income is the engine of your retirement. We help you develop a plan so you take the right amount of income in the most tax efficient way possible.

5. Taxes

We help you develop a strategy that balances your tax burden now and throughout retirement.

6. Test Run

Why guess about your retirement? Take a Retirement Test Run. This simulated retirement approach lets you actually experience what it will be like to live on the income you'll have during retirement.

7. Retirement

With lessons from your Retirement Test Run and adjustments to your plan, you are ready to retire with confidence.

General Information

Firm Start Year

1990

No.of Employees

2-4

CRD#

2034946

Insurance License#

801440

Name of Broker/Dealer

United Planners Financial Services

Name of Custodial Firm

Trust Company of America

States Licensed in

AZ CA CO CT FL MI MO MT NV NM NY OK TX UT VA WA

Years of Experience in Financial Services

27

Number of Years with Current Firm

6

I work with the following types of clients

Individual Investors

Services

Investment Types

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

I can meet clients in the following ways

Via phone, At my office, Via email

Compliance

Registered Investment Advisor

Yes

Registered Representative

Yes

Investment Advisor 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

Qualifications & Membership

Certifications, Accreditations & Designations

Registered Financial Consultant (RFC)

Securities Licenses

Series 22, Series 6, Series 7, Series 24, Series 26, Series 63, Series 65, Series 66

Insurance and Annuity Licenses

Long Term Care, Life, Health, Disability, Annuity, Variable Life, Variable Annuity

Financial Organization Memberships

Financial Planning Association (FPA), Registered Financial Consultant (RFC), National Association of Personal Financial Advisors (NAPFA)

Firm Information

Firm's Number of Clients

450

Firm's Number of Planning Clients

120

Firm's Number of Managed Clients

300

Assets Managed by Firm

$155,000,000

Assets Managed by Advisor

$50,000,000

Compensation and Fees

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

$250,000

Compensation Methods

Commissions

Fee % Based on Assets

1.75%

Hourly Rate

$220.00

Minimum Fee Charged for Managed Accounts

1%

Minimum Fee Charged for Hourly Planning Accounts

$125.00

Disclaimer

Jeffrey P. Wilcock is a Registered Representative offering Securities through United Planners Financial Services, Member FINRA, SIPC. Advisory Services offered Through Seros Financial LLC. Seros Financial, LLC. and United Planners are not affiliated.