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Firm Start Year
No.of Employees
CRD#
Firm CRD#
Insurance License#
Name of Custodial Firm
Years of Experience in Financial Services
Number of Years with Current Firm
Work with the following types of clients
Advisory Services Provided
Investment Types
Can meet clients in the following ways
Registered Investment Advisor
Investment Advisor Representative
Acknowledged fiduciary
Compliance Disclosures in Last 5 years
Criminal Disclosures in Last 5 years
Certifications, Accreditations & Designations
Securities Licenses
Insurance and Annuity Licenses
Firm's Number of Clients
Firm's Number of Planning Clients
Firm's Number of Managed Clients
Advisor's Number of Clients
Advisor's Number of Managed Clients
Advisor's Number of Planning Clients
Assets Managed by Advisor
Fee Structure
Minimum Portfolio Size for New Managed Accounts
Compensation Methods
Fee % Based on Assets
Additional Details on Charges
Minimum Fee Charged for Managed Accounts
BA - Biocehmistry
MBA - Finance