- Compliance
Understanding SEC regulations regarding order entry, P&L Statements, document review, supervisory responsibility, and compliance manual analysis are some of the many subjects in the purview of our expertise.
- Municipal Securities
The appropriate use of tax-free issues is of paramount consideration in any portfolio. Following that, we can advise on the rating, float, type of issue, i.e., prerefunded, OID, etc., or any other related matter.
- Equities
We will provide a complete review of every stock in your portfolio. We can offer performance review, commission analysis, P&L, stock ratings, execution prices, style analysis, class analysis, and appropriateness of all these elements within a portfolio.
- Taxable Bonds
Our expertise ranges from government to cor4porate issues and highly rated to junk ratings. We can evaluate the underlying issuer, the interest rate (stated and actual), FNMA and GNMA portfolios.
- Annuities
We can examine your variable and fixed rate annuities for internal and external pricing, suitability, contract rating, variable investment offerings, and comparisons among the other packaged annuities in the marketplace. All are issues are evaluated in light of the owner’s age and experience.
- Options
This very complex subject involves trading strategies such as butterflies and saddles. We can review your experience for suitability as to strategy, underlying stock, float and many other factors.
- Suitability
Rule 405 states that an advisor must know their customer and must act in the best interests of their customer. We can evaluate and review the suitability of you investments in light of your investment objectives, goals, age and many other determining factors.
- Limited Partnerships
We will review your partnership not only for performance and suitability but also for structure, General Partner experience, resale potential, and many other important issues.
- Closed End funds
These funds trade like stocks but are really a type of fund. We understand the appropriate use of this investment and will review it in light of the internal costs, composition of the underlying portfolio, trading volumes, and other determinants.
- Mutual Funds
Also known as open-end funds, these investments and their provider have recently made headlines due to their internal trading practices and fee structures. We can evaluate not only their trading policy, diversification, pricing structure. We can assess the intrinsic performance and overall value to your portfolio. We can offer expert advice regarding proprietary funds as well.
- IPO’s
The nuances and costs of Initial Public Offerings is an area where we can be of special assistance. Lists of friends, availability and offering concessions are two of the major considerations where we can provide expert guidance.
- Churning
This subject involves excessive trading in an account. We can offer expert analysis of your account by evaluating things such as frequency, size and commissions on trades and doing so in light of your investment objectives, experience, and risk tolerance.
- Twisting
This subject relates to the use of insurance. Similar to churning, it involves the replacement of life insurance. We can offer the expertise you need to understand the most complex of policy trades.
|
 |
|
Professional
Organizations
•NASD Industry
Panelist
•Financial Planning
Association
•MENSA
Distinguished
Intellectual Member
|
|
