DIRECTORY OF REGISTERED ADVISORS
National Coverage
Local Professionals
Saint Louis, MO 63108
314-880-7560
About West End Advisory Group
By planning first, we demystify the complex interactions of investments, taxes, Social Security and other concerns that create indecision. We are local and independent, with access to global resources and cutting-edge technology.
We believe in planning before investing, because knowing how much money you need--and when you will need it--are important determinants in your investment success.
See Disclosures
General Information
Firm Start Year
2013
No. of Employees
2-4
automated call
Yes
CRD#
1112591
Firm CRD#
6413
Name of Broker/Dealer
LPL Financial
States Licensed in
MO,IL,CA,FL,IN,TX
Years of Experience in Financial Services
39
Number of Years with Current Firm
12
Work with the following types of clients
Businesses, Individual Investors
Advisory Services Provided
Financial Advice & Consulting, Investment Advice & Management, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Education Funding and Planning, Financial Planning for Individuals, Tax Advice and Services, Financial Planning for Businesses
Services
Investment Types
Mutual Funds, Exchange Traded Funds (ETFs), Insurance, Annuities, Stocks, Bonds
Can meet clients in the following ways
Phone, Our Office, Video Conference
Compliance
Registered Representative
Yes
Investment Advisor Representative
Yes
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
CFP®, AIF®
Securities Licenses
Series 7, Series 63, Series 66
Insurance and Annuity Licenses
Variable Life, Long Term Care, Variable Annuity, Life, Health, Annuity
Firm Information
Advisor's Number of Clients
200+
Advisor's Number of Managed Clients
70+
Advisor's Number of Planning Clients
70+
Assets Managed by Advisor
$200,000,000+
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$250,000
Compensation Methods
Flat Fee, Based on Assets
Additional Details on Charges
Our fees are based on the complexity of your unique financial needs and may vary accordingly.
Education
Bachelor of Science - Business Administration / Finance
University of Missouri
08/1976 -05/1980
Masters Degree - Finance
Washington University
06/1981 -12/1982
Disclosures
FinancialAdvisor.net provides referrals to financial professionals of LPL Financial, LLC (LPL). FinancialAdvisor.net is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay FinancialAdvisor.net cash compensation for these referrals, which creates the incentive for FinancialAdvisor.net to make these referrals, resulting in a conflict of interest.
LPL ADV 2A
https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf
Additional Detailed Disclosures
https://www.lpl.com/content/dam/edam/format/disclosure/wiseradvisor-lpl-detailed-disclosures.pdf
Disclaimer
Securities and advisory services offered through LPL Financial (LPL), a registered investment advisor and broker-dealer, member FINRA/SIPC (www.finra.org / www.sipc.org). Insurance products are offered through LPL or its licensed affiliates. The LPL Financial registered representatives associated with this website may discuss and/or transact business only with residents of the states in which they are properly registered or licensed. No offers may be made or accepted from any resident of any other state.