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Licenses: Arizona, California, Dist. of Columbia, Delaware, Florida, Massachusetts, Maryland, Montana, North Carolina, New Jersey, New York, Texas, Virginia, Wisconsin
Insurance licenses: Florida P141225 Life, Variable Annuity Non-Resident Perpetual; Maryland 35308 Life, Health, Variable Life and Annuity Products; Massachusetts 1879548 Life, Health, Variable Non-Resident 10/25/2015 10/25/2018; New Jersey 1100991 Life, Accident, Health or Sickness, Variable; New York 852819 Life, Accident and Health, Variable Life/Variable; North Carolina 1433213 Life, Accident & Health or Sickness, Variable Life; Texas 1477567 Life Agent/Agency Non-Resident 12/03/2007 12/03/2017; Virginia 532762 Life & Annuities, Health, Variable Contracts; Wisconsin 2493278 Life, Accident & Health, Variable Life/Variable NPN: 1433213 Resident 08/29/1991 10/31/2017 NPN: 1433213 Annuities& Variable Annuity / NPN: 1433213 Non-Resident 04/02/2007 10/31/2017 Non-Resident 07/25/2007 10/25/2017 Non-Resident Perpetual NPN: 1433213 Annuity / NPN: 1433213 Non-Resident Perpetual Non- Resident 01/01/2011 10/31/2016
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria - required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively registered as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a registration being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or Five Star Professional's consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional's consumer complaint process; feedback may not be representative of any one client's experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria - considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth managers. Award does not evaluate quality of services provided to clients. Working with a Five Star Wealth Manager does not ensure that a client or prospective client will experience a higher level of performance or results. The inclusion of a wealth manager on the Five Star Wealth Manager Award list should not be construed as an endorsement of the wealth manager by any client nor are they representative of any one client's evaluation. The Five Star award is not indicative of the wealth manager's future performance. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com. Listing in this publication and/or award is not a guarantee of future investment success. This recognition should not be construed as an endorsement of the advisor by any client.