As a financial advisor, I play a role in your life’s most meaningful moments. You trust me to assess your needs, understand your concerns, offer the most relevant recommendations to address your unique situation and to provide clarity of thought. I do not take your trust lightly and strive to earn it every day.

 

I am not alone in my committment to you

I am supported by a network of premier partners, who bring strength, stability and security to strategies that are designed to work for today and tomorrow. All with one goal in mind — your success. I think it is important that I introduce them to you.

BENEFITS OF AFFILIATION

I am affiliated with SagePoint Financial, an independent wealth management firm that provides me with back office, technology, regulatory and operational support.

SagePoint Financial is an independent wealth management firm with close to 1,400 independence-minded financial advisors with offices across the United States.  Founded in 1970, SagePoint Financial is driven by a strong philosophy that independence is key to fulfilling sound investment decisions. My affiliation with the firm empowers me to put your interests first with objective, carefully considered offerings — with no obligation to promote any particular investment.

SagePoint Financial is part of Advisor Group, Inc., one of the nation’s largest networks of independent financial advisors in the country serving over 5,000 advisors and overseeing approximately $190 billion in client assets.  This collective strength is focused on helping clients define their needs, attain their objectives and adjust to life changes and market conditions.  With flexible technology, seasoned support, and high quality service, Advisor Group has both the forward thinkers and resources to help advisors and their clients to realize their full potential.  Cultivating a spirit of entrepreneurship and independence, Advisor Group champions the enduring value of financial advisors and is committed to being in their corner every step of the way.

Through my affiliation with SagePoint Financial and Advisor Group, I benefit from a vast range of resources and support:

  • A multitude of investment solutions broadens the scope of my capabilities
  • Portfolio management and trading tools allow me to meet your needs with better precision
  • Innovative technology ensures timely and accurate execution
  • Operational support gives me the freedom to focus on you
  • Compliance experts help ensure we are following firm and regulatory requirements and policies
  • Client communication services provide transparent and responsive information flow

SagePoint Financial and Advisor Group play an important role in professional oversight and combining performance with responsibility:

  • I must maintain securities and insurance licenses as required by FINRA and individual states where I conduct business
  • I am subject to ad-hoc credit checks conducted by SagePoint Financial to ensure a history of financial responsibility
  • My business is subject to ongoing auditing to align state and national regulatory requirements
  • I am required to attend annual compliance and continuing education meetings to ensure knowledge about any changes in the regulatory environment
  • The products I offer have gone through a rigorous due diligence process and evaluation

ALL ABOUT YOU

My affiliation with SagePoint Financial and Advisor Group allows me to:

Focus my efforts on your priorities and interests.

Provide conflict-free, objective advice.

Address the evolution of your needs.

Help create a better experience for you.

Commit to the highest levels of service.

Our Custodian: PERSHING

Have you ever wondered what happens to your funds once you’ve decided to make an investment? Your brokerage account assets are not held at SagePoint Financial. They are held at a clearing firm, a separate and independent entity. SagePoint Financial works with Pershing LLC (member FINRA, NYSE, and SIPC), a subsidiary of The Bank of New York Mellon Corporation, the nation’s oldest continuously operating bank. Pershing is a leading provider of global financial services to institutions, corporations, and high-net-worth individuals, and custodies $1.7 trillion in global client assets.*

Pershing handles confirmation, delivery and settlement of your financial transactions. Additionally, it prepares and sends you periodic account statements and transaction confirmations. It also employs technology and procedures designed to ensure that transactions are processed in a timely and efficient manner. Pershing is regulated by the SEC and FINRA, the regulatory bodies that also oversee broker-dealers.

* Pershing LLC and its global affiliates, September 30, 2017.

SagePoint Financial and Advisor Group: BETTER TOGETHER

The best of both worlds — that’s what my affiliation with SagePoint Financial offers me, and by extension, my clients. Though SagePoint Financial is part of one of the nation’s largest networks of independent financial advisors, it retains its own corporate culture. The company has access to the resources and financial stability of a large firm, while providing the personalized service usually found in much smaller firms. This two-pronged approach gives SagePoint Financial not only the flexibility to understand my needs and concerns — but also the wherewithal to address them.

Both SagePoint Financial and Advisor Group recognize the important role I play in the financial future of my clients and my community. An established thought leader and commanding industry presence, Advisor Group is dedicated to strengthening the fabric of our nation, one investor at a time. I’m proud to be a member of both the SagePoint Financial and Advisor Group families and am gratified that they are in our corner — yours and mine — each and every day.