Knowledge Powered by experience
What should investors look for in an Advisor?
Credentialing. Does your advisor hold rigorous, relevant credentials that require the "four E's" to earn and maintain their credentials? Experience...Education...Examination...and Ethics.
Background. Referral through trusted sources is still one of the best ways to find an advisor. If this is not possible, the Investment Management Consultants Association or the Certified Financial Planning Board of Standards have websites that can identify credentialed professionals in your area. Look for a professional who has proven expertise in financial planning topics such as insurance, tax planning, investments, estate planning, or retirement planning.
Compensation. Investors should be knowledgeable about what they are paying for and how they are paying. That's why each CFP® or CIMA® professional as part of their Professional Responsibility will disclose fully to clients services provided and compensation received.
Chemistry. Selecting an advisor is a personal choice like selecting a doctor. The investor should feel at ease and comfortable with their advisor. While the CFP® and CIMA® certifications are definitely a sign that an advisor has taken their competence to proficiency, the decision must ultimately come down to one of interpersonal connection and comfort.
Professional Experience
Company |
Title |
Location |
Duration |
UBS Financial Services Inc. |
Financial Advisor, Senior Vice President - Wealth Management, Portfolio Manager |
Winston-Salem, NC |
January 2013 - Present |
Wells Fargo Advisors, LLC |
Financial Advisor, Senior Vice President - Investments, Portfolio Manager |
Winston-Salem, NC |
January 2001 - January 2013 |
AmSouth Investment Services, Inc. |
Financial Advisor |
Jacksonville, FL |
January 1997 - January 2001 |
Olde Discount Brokerage |
Registered Representative |
West Palm Beach, FL |
August 1995 - January 1997 |
United States Marine Corps. |
Russian Linquist & Reconnaissance Instructor |
Various |
August 1987 - June 1993 |
Accomplishments
- CERTIFIED FINANCIAL PLANNER or CFP® Practitioner
- Certified Investment Management Analyst or CIMA® Professional, Investment Management Consultants Association
Education
- University of Florida - B.S.B.A in Finance, 1995
- College for Financial Planning - Certified Financial Planning Board of Standards - CERTIFIED FINANCIAL PLANNER or CFP® certification, 2008
- Unversity of Pennsylvania - Wharton School CIMA Program - Certified Investment Management Analyst or CIMA® certification, 2008
Licenses
- Life and Health Insurance and Variable Annuity Licensed in FL and NC
- Series 6, 7, 9 and 10, 63, 65 Licensed
Registered States:
CA, FL, GA, HI, IL, KY, MD, MI, NC, TX