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Andy Whitaker

Gold Tree Financial, Inc.

8596 Arlington Expressway

Jacksonville, FL 32211
(904) 7250556

Family Financial Management Services

About Gold Tree Financial, Inc.

Gold Tree Financial, Inc. provides Family Financial Management Services including financial planning, tax-efficient portfolio construction and management, and estate planning products and services for individuals and families. In addition to providing investment and insurance products and investment management services on which we are compensated, we provide strategic, tax-efficient, and estate planning services & input regarding all areas of your financial world.

Among the many advantages of our services are probate avoidance and the prevention of "Unintended Heirs". These can include the legal profession, the government, your surviving spouse's new spouse and their children from a previous marriage, and your daughter's divorcing husband three years after she inherits from you.

General Information

Firm Start Year

1987

No.of Employees

5-9

CRD#

6012437

Firm CRD#

15708

Insurance License#

W092313

Name of Broker/Dealer

ProEquities

Name of Custodial Firm

Pershing LLC

States Licensed in

FL GA CA CO DE MD MI NC PA SC SD TN TX UT VA Andy holds a license w/FINRA, the securities regulatory agency, that allows him to obtain license in any state in the US. If license is needed to serve your needs, it will be obtained.

Years of Experience in Financial Services

7

Number of Years with Current Firm

2

Work Experience

Family Financial Management Services including financial planning, tax-efficient portfolio construction/management, and estate planning.

I work with the following types of clients

Individual Investors, Businesses

Services

Investment Types

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

I can meet clients in the following ways

At my office, At your home, At your office, Via phone, Via email, Video Conference

Compliance

Registered Investment Advisor

No

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

Chartered Retirement Planning Counselor (CRPC®)

Securities Licenses

Series 66, Series 7

Insurance and Annuity Licenses

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

Firm Information

Firm's Number of Clients

600+

Firm's Number of Planning Clients

600+

Firm's Number of Managed Clients

300+

Assets Managed by Firm

$200,000,000

Advisor's Number of Clients

500

Advisor's Number of Managed Clients

500

Advisor's Number of Planning Clients

500

Assets Managed by Advisor

$200,000,000

Compensation and Fees

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

$25,000

Compensation Methods

Based on Assets

Additional Details on Charges

Planning fees may apply depending on the specific needs.

Education

Masters - Business Administration

Northwestern University: The Kellogg School
2000 - 2002

Bachelor of Science - Mechanical Engineering

Florida State University
1998 - 2002

Disclaimer

Andy J. Whitaker, CRPC®, Registered Representative. Securities offered through ProEquities, Inc., a Registered Broker-Dealer, Member FINRA & SIPC. Andy J. Whitaker, CRPC® Investment Advisor Representative. Advisory services offered through Investment Advisors, a Registered Investment Advisor, a division of ProEquities, Inc. Gold Tree Financial (GTF), Inc. is independent of ProEquities, Inc. Information is for informational purposes and should not be construed to be specific tax, legal, or investment advice. Decisions regarding individual circumstances should include consultation with a professional who understands your situation. All investment purchases are to be preceded by a current investment prospectus.