Broker Check

Our Process

1. Discovery

We will ask a lot of questions in order to understand you, including questions about your:

  • Family Dynamics (marital status, dependents, household members)
  • Tax Status
  • Investment Experience
  • Employment Stage
  • Needs (basic services, dependent care, medical expenses)
  • Wants (going on vacation, buying a boat, eating out)
  • Goals (saving for a child’s education, planning for retirement, leaving a legacy)
  • Present Finances (income, investments, savings, retirement funds, insurance coverage)
  • Values/Priorities/Risk-Tolerance

2. Assessment

  • Analyze your total situation
  • Detect gaps, redundancies, or weaknesses in your current positions


3. Plan Development

  • Identify appropriate strategies, objectives, and tactics
  • Review recommendations and alternatives
  • Develop custom and comprehensive investment plan


4. Plan Implementation

  • Adjust existing positions, if necessary
  • Address any areas that need clarification or updates
  • Arrange meetings with specialty advisors, if necessary
  • Complete required paperwork


5. Evaluation

  • Monitor your investments
  • Schedule regularly reviews
  • Provide clear & concise reports
  • Rebalance and adjust, if necessary

Not only is this information helpful, it is required by the USA Patriot Act of 2001, SEC Rule 17a- 3(17), FINRA Rule 2111.05 (Suitability), and FINRA Rule 2090 (Know Your Customer) when opening and servicing an account.

We do not disclose to or share with others any non-public, personal information (“Confidential Information”) or Personal Identifying Information (“PII”), except as  authorized or when otherwise legally obligated to. Additionally, any Confidential Information or PII that we receive will be protected under our Privacy and Cybersecurity Policies and treated with confidentiality and discretion.

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