Our firm was born out of a strong commitment to family and work-life balance. The ability to spend time with the next generation to a significantly greater degree was a major factor in our decision to take the leap of leaving the safety of a good job with benefits in favor of flexibility and autonomy.
John left a role with JPMorgan Chase that tied him to his branch in Illinois. Ben left a role with Merrill that resulted in 11 hours away from the home each day due to a long commute. With the ability to work remotely unlocked during the pandemic, we both began to reimagine what our work-life balance could be.
We hold nearly every meeting through a Zoom call. This allows clients to schedule meetings in the comfort of their home, without worrying about a commute to an office location. It allows father and son to work together while located on opposite sides of the country. It allows us both to dedicate zero hours to commuting, and instead be present when and where our family needs us, while simultaneously maintaining stronger availability to clients.
Now, as we work to build the next chapter of our lives with our own financial planning and advising firm, we love the opportunities to get to know individuals, families, and businesses from coast to coast, and to understand the unique circumstances and priorities that led them to this point and will shape their futures. It is an honor and great responsibility to earn and retain the trust of our clients through quality planning and investment advice.
See Disclosures
Firm Start Year
2021
No. of Employees
2-4
Firm CRD#
6413
Insurance License#
16899068
Name of Broker/Dealer
LPL Financial, LLC
States Licensed in
AZ,CA,CO,FL,IL,IN,KY,MI,MN,NC,NM,NY,OK,SC,WI
Work with the following types of clients
Individual Investors, Businesses
Advisory Services Provided
Financial Planning for Individuals, Financial Planning for Businesses, Education Funding and Planning, Financial Advice & Consulting, Risk Management, Money Management, Wealth Management, 401K Rollovers, Retirement Planning, Portfolio Management, Financial Planning, Insurance Products & Annuities, Investment Advice & Management
Registered Investment Advisor
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Certifications, Accreditations & Designations
CFP®
Securities Licenses
Series 7, Series 6, Series 63, Series 66
Insurance and Annuity Licenses
Variable Life, Variable Annuity, Life, Annuity
Fee Structure
Fee-Based
Compensation Methods
Based on Assets, Hourly, Flat Fee
Additional Details on Charges
See schedule on website
LPL ADV 2A
https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf
Additional Detailed Disclosures