ORGANIZATION OVERVIEW

Size: px
Start display at page:

Download "ORGANIZATION OVERVIEW"

Transcription

1 Synovus Investment Advisors, Inc. ORGANIZATION OVERVIEW Investment products and services provided by Synovus are offered through Synovus Investment Advisors, Inc., Synovus Securities, Inc., Synovus Trust Company, N.A. and Synovus Insurance Services. The registered broker dealer offering brokerage products for Synovus is Synovus Securities, Inc., a member firm of NASD/SIPC. Investment products and services are not FDIC insured, are not deposits of or obligations of any Synovus Financial Corp. (SFC) bank, and are not guaranteed by any SFC bank, and involve investment risk, including possible loss of principal amount invested. There are risks involved in investing in mutual funds, including loss of principal. This report has been prepared from sources and data believed to be reliable but is not guaranteed to or by Synovus Investment Advisors, Inc. Past performance is not a guarantee of future results. Page 1 of 8

2 Organizational Overview Synovus Financial Corp Financial Strength - Depth of Resources $26 billion global financial services company listed on the New York Stock Exchange (SNV) and a component of the Standard & Poor s 500 Index Provider of banking, mortgage, insurance, leasing and financial management services through 40 affiliate banks in Alabama, Georgia, Florida, South Carolina, and Tennessee Majority owner of TSYS (NYSE: TSS), the world s second largest payment processing system Member of FORTUNE magazine s The 100 Best Companies To Work For eight years in a row. Consistently ranked as one of Georgia s top performing public companies. Consistently ranked among the nations best performing banks. Page 2 of 8

3 Investment Management Styles and Services Styles Intermediate-Term Bond Taxable Tax-Free* Large Cap Core Equity Balanced Account Management Equity Income Services Separate Account Management Asset Allocation Products Option Writing Strategies Short-Term Trading Program Mutual Funds Page 3 of 8 Federal income tax rules will apply to any capital gains distributions. *While income is exempt from federal income tax, state and local taxes still apply.

4 A Disciplined Approach Create investment portfolios based on a thorough understanding of clients needs, goals and tolerance for risk Review our clients individual needs and market conditions to ensure the asset mix remains appropriate Actively manage assets and formally monitor investment performance relative to market benchmarks Page 4 of 8

5 Investment Professionals Megan Busby, CFA, CFP is Chief Investment Officer and a Senior Portfolio Manager with seventeen years investment experience. She holds an undergraduate degree from the Georgia Institute of Technology, an MBA from Georgia State University, a Certified Financial Planner designation, and in 1990, earned the right to use the Chartered Financial Analyst designation. Megan joined Synovus in 1987 and serves as chair of the Fixed Income Committee. Dan Davidson, CFP is a Vice President and Senior Portfolio Manager with over sixteen years of portfolio management experience. He is the chair of the Asset Allocation Committee. Dan graduated with a BS degree in Accounting from Auburn University and an MBA in Finance from the University of Alabama. He is also a graduate of the Cannon Financial Institute and holds a Certified Financial Planner designation. Dan joined Synovus in Greg Day, CFA is a Vice President and Senior Portfolio Manager with twelve years investment management experience. He graduated cum laude from the University of Kentucky with a BBA in Finance and earned the right to use the Chartered Financial Analyst designation. Greg is a Registered Representative and Licensed Insurance Agent of Synovus Securities, Inc. and serves as a member of the Equity Research Committee. Zachary Farmer is an Assistant Vice President and Portfolio Manager who has been with Synovus since He graduated from Auburn University with a BS degree in Finance. Zach is responsible for alternative investment strategies, including option writing programs and short-term trading strategies. Page 5 of 8

6 Investment Professionals John Gross, CFA is a Vice-President and Senior Portfolio Manager with over twenty three years of investment management experience. John chairs the Equity Research Committee. He graduated from the University of Missouri with a BA, the University of Nebraska with a MA, and the University of West Florida with a MBA in Finance. John has earned the right to use the Chartered Financial Analyst designation and has been with Synovus since Eric Kruger is a Portfolio Manager who began work for Synovus in Eric is a member of the Equity Research Committee. He holds a bachelors degree and MBA from Florida State University, and is a candidate in the CFA program. Eric has worked in investment management for eleven years. Nathan Love is a Portfolio Manager who has worked for Synovus since 1998 and serves as a member of the Fixed Income Committee. He earned a BS degree at the Citadel, the Military College of South Carolina. Nathan also earned an MBA from Winthrop University. Randall Merchant is a Vice President & Senior Portfolio Manager with over twenty years of investment management experience. He graduated from the University of Georgia and the Cannon Financial Institute. His career with Synovus began in Charles Moore is a Senior Vice President and Chief Investment Advisor. Charles joined Synovus in 2001 with over seventeen years of investment experience. He graduated from Creighton University with a BSBA in Finance and then attended the New York Institute of Finance. He serves on the Investment Policy Committee for Synovus Trust Company, N.A. and is a Registered Representative of Synovus Securities, Inc. Page 6 of 8

7 Investment Professionals Daniel Morgan is a Senior Portfolio Manager with over seventeen years of experience as an investment advisor. Dan holds an MBA from the University of Miami and a BS in Business Administration from the University of Florida and has passed the first level of the Chartered Financial Analyst program. He is also a registered representative of SSI and serves as a member of the Equity Research Committee. Jim Newman is a Portfolio Manager with over eight years in trust investment management and began work at Synovus in He serves on the Asset Allocation Committee. Jim attended the University of Idaho and completed the Florida Graduate Trust School. William Perkins is President and CEO of Synovus Investment Advisors, Inc. He is a 1976 graduate of Texas Christian University and completed the ABA Trust and Private Banking Executive Management program in He currently holds NASD licenses 7, 24, 53, 55, 63, 66, and is a member of the Association of Investment Management Sales Executives. Neal Price is a Vice-President and Senior Portfolio Manager with over eighteen years of investment experience. He holds a BS from the University of South Carolina and an MBA from Samford University, where he graduated with honors. Neal joined Synovus in 1998 and serves as a member of the Fixed Income Committee. Charles Ray Sheffield is a Senior Investment Manager with over ten years of financial services experience, including five years of investment experience. He is a graduate of Georgia Southwestern State University and Mercer Law School. He is a member of the Georgia Bar Association, and is the former Assistant General Counsel for Synovus Financial Corp. Page 7 of 8

8 Investment Professionals Michael Upshaw, CFP, ChFC is a Vice President & Senior Portfolio Manager with over thirteen years of financial services experience. He serves as a member of the Asset Allocation Committee. Michael earned a BS degree in finance with honors from Auburn University, a Juris Doctor from the University of Georgia School of Law, and graduated with honors from the Cannon Financial Institute. Michael is a member of the Georgia Bar Association, holds a Certified Financial Planner designation, and earned the right to use the Chartered Financial Consultant designation. Michael joined Synovus in Matt Weatherly, CFA is an Assistant Vice President and Portfolio Manager who has been with Synovus since Matt is a member of the Equity Research Committee. He graduated with a BS degree in Finance from Birmingham-Southern College and a MBA in International Finance from the University of South Carolina. Matt earned the right to use the Chartered Financial Analyst designation in Russell Wolsfelt is a Portfolio Manager and has been with Synovus Investment Advisors since He received a BS from Auburn University. Page 8 of 8

Dallas Office 14214 Dallas Parkway Suite 1100 Dallas, TX 75254-2961 972.702.8262

Dallas Office 14214 Dallas Parkway Suite 1100 Dallas, TX 75254-2961 972.702.8262 January 25, 2013 Dallas Office 14214 Dallas Parkway Suite 1100 Dallas, TX 75254-2961 972.702.8262 Little Rock Office 400 W. Capitol Avenue Little Rock, AR 72203-3217 501.375.5200 www.bkdwa.com Advisors

More information

Wealth Management Built on Integrity and Experience

Wealth Management Built on Integrity and Experience Wealth Management Built on Integrity and Experience How Successful Portfolios Can Help You Prepared March 1, 2011 www.successfulportfolios.com 300 South Duncan Avenue, Suite 166 Clearwater, FL 33755 (800)

More information

Dallas Office 14214 Dallas Parkway Suite 1100 Dallas, TX 75254-2961 972.702.8262

Dallas Office 14214 Dallas Parkway Suite 1100 Dallas, TX 75254-2961 972.702.8262 October 1, 2013 Dallas Office 14214 Dallas Parkway Suite 1100 Dallas, TX 75254-2961 972.702.8262 Little Rock Office 400 W. Capitol Avenue Little Rock, AR 72203-3217 501.375.5200 www.bkdwa.com Advisors

More information

COMPETITION CFA INSTITUTE RESEARCH CHALLENGE SOUTHWEST U.S. FINALS

COMPETITION CFA INSTITUTE RESEARCH CHALLENGE SOUTHWEST U.S. FINALS COMPETITION CFA INSTITUTE RESEARCH CHALLENGE SOUTHWEST U.S. FINALS Leah R. Bennett, CFA, CIC Managing Director and CIO King Investment Advisors Leah R. Bennett is a portfolio manager and investment analyst

More information

Synovus Investment Advisors, Inc.

Synovus Investment Advisors, Inc. Synovus Investment Advisors, Inc. FIXED INCOME MANAGEMENT PROCESS Investment products and services provided by Synovus are offered through Synovus Investment Advisors, Inc., Synovus Securities, Inc., Synovus

More information

OUR SPONSORS. South Florida Hedge Funds 2011 Industry Outlook. The Miami Finance Forum. Presents A Panel Discussion on.

OUR SPONSORS. South Florida Hedge Funds 2011 Industry Outlook. The Miami Finance Forum. Presents A Panel Discussion on. OUR SPONSORS The Miami Finance Forum Presents A Panel Discussion on South Florida Hedge Funds 2011 Industry Outlook Our Panelists: About the Miami Finance Forum The Miami Finance Forum is a non-for-profit

More information

PORTFOLIO MANAGEMENT TEAM

PORTFOLIO MANAGEMENT TEAM PORTFOLIO MANAGEMENT TEAM J. Brian Henderson, CFA President of Cavanal Hill Investment Management Brian Henderson oversees the taxable fixed income, tax-free fixed income and the equity management teams

More information

July 2004 November 2005

July 2004 November 2005 July 2004 November 2005 Our firm has been growing and changing over the years and many of you have not had the opportunity to meet all the employees of Private Wealth Management. Over the next several

More information

Indianapolis Office 201 N. Illinois Street, Suite 700 Indianapolis, IN 46244 317.383.4000 www.bkdwa.com

Indianapolis Office 201 N. Illinois Street, Suite 700 Indianapolis, IN 46244 317.383.4000 www.bkdwa.com October 1, 2013 Indianapolis Office Indianapolis, IN 46244 317.383.4000 www.bkdwa.com Advisors presented in this supplement: Amy Frizzell Brandon Falbe Edward JR Humphreys II Sean Power Tiffany VanHook

More information

Corporate Bond Strategy

Corporate Bond Strategy Corporate Bond Strategy FIRM OVERVIEW Established more than a decade ago by the former CIO of a major money manager and a research analyst in Buffalo, NY. $650 million in AUM for private clients, foundations,

More information

Capital Advisory Group 442 W. Kennedy Blvd., Suite 380 Tampa, FL 33606 813 254 1070

Capital Advisory Group 442 W. Kennedy Blvd., Suite 380 Tampa, FL 33606 813 254 1070 Capital Advisory Group 442 W. Kennedy Blvd., Suite 380 Tampa, FL 33606 813 254 1070 This brochure is required by law and provides information about the qualifications and business practices of Capital

More information

Kansas City Office 1201 Walnut Street, Suite 1700 Kansas City, MO 64106-2246 816.842.1935

Kansas City Office 1201 Walnut Street, Suite 1700 Kansas City, MO 64106-2246 816.842.1935 January 25, 2013 Kansas City Office St. Louis Office One Metropolitan Square 211 N. Broadway, Suite 600 St. Louis, MO 63102-2733 314.231.9731 www.bkdwa.com Advisors presented in this supplement: Lynn Mayabb

More information

ADV Part 2B Brochure Supplement

ADV Part 2B Brochure Supplement Item 1: Cover Page ADV Part 2B Brochure Supplement COLMAN KNIGHT ADVISORY GROUP, LLC 18 AUDUBON LANE CARLISLE, MA 01741 978-371-2015 www.colmanknight.com This brochure supplement provides information about

More information

For Use in Financial Planning Engagements. PART I. GENERAL INFORMATION: (Code reference Rule 401)

For Use in Financial Planning Engagements. PART I. GENERAL INFORMATION: (Code reference Rule 401) CFP CERTIFICANT DISCLOSURE FORM (FORM FPE) For Use in Financial Planning Engagements PART I. GENERAL INFORMATION: (Code reference Rule 401) A. B. Business affiliation: AIS Financial Services, Inc. d/b/a

More information

BRIAN R. KORB, PhD, CFA, CFP

BRIAN R. KORB, PhD, CFA, CFP BRIAN R. KORB, PhD, CFA, CFP ACADEMIC POSITIONS: 2002 Present TRINITY WESTERN UNIVERSITY, School of Business, Langley, BC Assistant Professor of Finance Direct the finance curriculum for the largest Christian

More information

TFC Financial Management, Inc. Form ADV Part 2B. Brochure Supplement

TFC Financial Management, Inc. Form ADV Part 2B. Brochure Supplement Form ADV Part 2B Brochure Supplement March 17, 2016 Website: www.tfcfinancial.com E-mail: info@tfcfinancial.com This Brochure Supplement provides information about Jane Taubner Barney, Kathleen A. Chianca,

More information

TD AMERITRADE Executive Management Team

TD AMERITRADE Executive Management Team TD AMERITRADE Executive Management Team Leads insightfully. Innovates dynamically. Grows strategically. www.amtd.com TD AMERITRADE Executive Management Team Joe Moglia Chief Executive Officer Joe Moglia

More information

Brian K. Stickney, CFA, CFP

Brian K. Stickney, CFA, CFP Item 1 - Cover Page Brochure Supplement for Brian K. Stickney, CFA, CFP CRD# 2217162 Ironridge Wealth Management, LLC 100 Galleria Parkway Suite 1130 Atlanta, GA 30339 (770) 635-1925 www.ironridgewealth.com

More information

Partnervest Financial Group

Partnervest Financial Group Partnervest Financial Group COMPANY PROFILE We help Advisors and their clients navigate change in a complex environment 888-991-9969 www.partnervest.com COMPANY PROFILE Partnervest creates strong client

More information

BROCHURE SUPPLEMENTS (ADV PART 2)

BROCHURE SUPPLEMENTS (ADV PART 2) BROCHURE SUPPLEMENTS 2015332 1 BROCHURE SUPPLEMENT BRADFORD A. EVANS This brochure supplement provides information about Bradford A. Evans that supplements the Heartland Advisors, Inc. Brochure (ADV Part

More information

Ferguson & Associates

Ferguson & Associates Ferguson & Associates Merrill Lynch makes available products and services offered by Merrill Lynch, Pierce, Fenner & Smith Incorporated (MLPF&S) and other subsidiaries of Bank of America Corporation (BofA

More information

How To Become A Successful Finance Major

How To Become A Successful Finance Major FINANCE What can I do with this degree? Transferable Skills In addition to the specific subject matter that Finance majors learn, skills are acquired that can easily transfer to any field including: Reading

More information

TFC Financial Management, Inc. Form ADV Part 2B. Brochure Supplement

TFC Financial Management, Inc. Form ADV Part 2B. Brochure Supplement Form ADV Part 2B Brochure Supplement May 12, 2015 Website: www.tfcfinancial.com E-mail: info@tfcfinancial.com This Brochure Supplement provides information about Jane Taubner Barney, Kathleen A. Chianca,

More information

Contact Princeton Global Asset Management

Contact Princeton Global Asset Management About Princeton Global Asset Management Princeton Global Asset Management furnishes continuous investment advice to Clients based on their individual needs. We provide US, International and Global investment

More information

www.waltlunsfordgroup.com

www.waltlunsfordgroup.com www.waltlunsfordgroup.com THE WALT LUNSFORD GROUP Our Team Walt Lunsford, AAMS Senior Vice President, Investments Direct: 513-786-7840 Walt.Lunsford@raymondjames.com WaltLunsfordGroup.com Tim Recker, AAMS

More information

Harvestons Securities, Inc.

Harvestons Securities, Inc. RELATIONSHIPS ARE EVERYTHING Whether it is business, family, friends or neighbors, relationships are built one step at a time through mutual respect, trust, commitment and understanding. Some relationships

More information

Firm Brochure Supplement (Part 2B of Form ADV) March 9, 2015

Firm Brochure Supplement (Part 2B of Form ADV) March 9, 2015 NORTHEAST INVESTMENT MANAGEMENT, INC. INVESTMENT ADVISORS AND TRUSTEES 100 High Street, Suite 1000 Boston, Massachusetts 02110-2301 (617) 523-3588 Phone (617) 523-5412 Facsimile www.northeastinvest.com

More information

MANAGEMENT TEAM BIOS. Frank P. Marzano, CFP, CPA, CIMA. Emily Alessio. Managing Principal. Director of Operations

MANAGEMENT TEAM BIOS. Frank P. Marzano, CFP, CPA, CIMA. Emily Alessio. Managing Principal. Director of Operations MANAGEMENT TEAM BIOS Frank P. Marzano, CFP, CPA, CIMA Managing Principal fmarzano@gmadvisorygroup.com (516) 767-7104 ext 20 Frank joined GMAG in the mid-1990s with a vision to create an integrated financial

More information

LJPR Financial Advisors. 4555 Investment Drive. Troy, MI 48098 (248) 641-7400. leon.labrecque@ljpr.com. August 11, 2015

LJPR Financial Advisors. 4555 Investment Drive. Troy, MI 48098 (248) 641-7400. leon.labrecque@ljpr.com. August 11, 2015 Item 1 Cover Page Leon C. LaBrecque, JD, CPA, CFP, CFA LJPR Financial Advisors 4555 Investment Drive Troy, MI 48098 (248) 641-7400 leon.labrecque@ljpr.com August 11, 2015 This Brochure Supplement provides

More information

TAYLOR SENIOR PARTNER

TAYLOR SENIOR PARTNER Brochure Supplement (Part 2B of Form ADV) Dated October, 2011 This Brochure Supplement of the ADV II, filed with the SEC on April 29, 2011, provides information on the partners and employees of, 832 Camino

More information

Workshop on Community Bank Investments & Asset Liability Management

Workshop on Community Bank Investments & Asset Liability Management Darnell Canada Darling Consulting Group Darnell has been working at Darling Consulting Group since 1996. As a Managing Director, Darnell has experience working directly with community banks and credit

More information

Financial Advisor Interview Questionnaire

Financial Advisor Interview Questionnaire Financial Advisor Interview Questionnaire Advisor name: Company Name: Cyril S. White White House Financial & Investment Solutions, LLC Date: May 30, 2013 Why did you become a financial advisor? I became

More information

Simmer Financial Planning, LLC

Simmer Financial Planning, LLC Item 1 Cover Page Ronald G. Simmer, CFP Simmer Financial Planning, LLC 5765 Willow Springs Way Ferndale, WA 98248 tel. (360) 380 0517 fax (360) 380 0528 ron@simmer.org www.simmerfinancial.com This Brochure

More information

Master of Science in Wealth Management The Charles H. Kellstadt Graduate School of Business

Master of Science in Wealth Management The Charles H. Kellstadt Graduate School of Business Master of Science in Wealth Management The Charles H. Kellstadt Graduate School of Business Committed to a Career in Wealth Management? Find us on the web at: http://finance.depaul.edu/cfs/ms_wealth_management/

More information

Summary of Material Changes

Summary of Material Changes Sycamore Investment Consulting Services, LLC 701 Deming Way, Suite 100 Madison, WI 53717 (608) 827-6414 greg@btnwd.com Form ADV: Uniform Application for Investment Adviser Registration Brochure Date: March

More information

Certificate Program in Finance and Accounting

Certificate Program in Finance and Accounting Certificate Program in Finance and Accounting Understanding the Language of Business Program Overview Certificate Program in Finance and Accounting Understanding the Language of Business The ability to

More information

The Investment Committee of Envestnet (titled the PMC Investment Committee) consists of seven members:

The Investment Committee of Envestnet (titled the PMC Investment Committee) consists of seven members: Investment Committee of Envestnet Asset Management, Inc. 35 East Wacker Drive, Suite 2400 Chicago, IL 60601 312 827 2800 www.envestnet.com March 31, 2013 This Brochure Supplement provides information about

More information

The Peachtree Group at Morgan Stanley

The Peachtree Group at Morgan Stanley The Peachtree Group at Morgan Stanley 3280 PEACHTREE RD NE SUITE 1900 ATLANTA, GA 30305 404-266-6390 / MAIN 877-386-5767 / TOLL-FREE 404-601-5471 / FAX http://fa.smithbarney.com/thepeachtreegroupsb/ index.htm

More information

America First Investment Advisors

America First Investment Advisors America First Investment Advisors America First is an investment manager from the Old School. We serve discerning clients who value sound advice, clear explanations, and a willingness to say what we can

More information

CFP Board Commission on Standards Commission Members

CFP Board Commission on Standards Commission Members CFP Board Commission on Standards Commission Members V. Raymond Ferrara, CFP Commission Chair Ray is Chair and CEO of ProVise Management Group, LLC, a financial planning firm located in Clearwater, Florida,

More information

The following questions pertain to consumer views about money and investing.

The following questions pertain to consumer views about money and investing. Millennial and Baby Boomer Investors Survey: Data Report Securian Financial Group June 2016 The following questions pertain to consumer views about money and investing. 1. Do you have investments outside

More information

THE DURSO WEALTH MANAGEMENT GROUP S DISCRETIONARY PORTFOLIO MANAGEMENT INVESTMENT STRATEGIES

THE DURSO WEALTH MANAGEMENT GROUP S DISCRETIONARY PORTFOLIO MANAGEMENT INVESTMENT STRATEGIES Morgan Stanley 20 Linden Place Red Bank, NJ 07701 (732) 936-3400 THE DURSO WEALTH MANAGEMENT GROUP AT MORGAN STANLEY THE DURSO WEALTH MANAGEMENT GROUP S DISCRETIONARY PORTFOLIO MANAGEMENT INVESTMENT STRATEGIES

More information

Part 2B of Form ADV SEC Firm Brochure Supplement

Part 2B of Form ADV SEC Firm Brochure Supplement Part 2B of Form ADV SEC Firm Brochure Supplement (for Direct Clients) Professional Backgrounds of: Greg Miller, CPA (CEO, Principal) Darlene M. Murphy, CPA, CFP (President, Principal) Michael D. Miller

More information

This brochure has not been approved by the Securities and Exchange Commission (SEC), nor any state securities authority.

This brochure has not been approved by the Securities and Exchange Commission (SEC), nor any state securities authority. The Program Works, Inc. (dba TPW Financial, Inc.) 450 Lexington Street, Suite 203 Newton, MA 02466 Contact: Chitra R. Staley, CEO&CIO 617-614-9889 cstaley@tpwfinancial.com www.tpwfinancial.com Date of

More information

Family Office Services Trust and Estate Planning Retirement Plans for both Individuals and Corporations Tax Preparation and Record Keeping Services

Family Office Services Trust and Estate Planning Retirement Plans for both Individuals and Corporations Tax Preparation and Record Keeping Services HUDSON ADVISOR SERVICES, INC. OVERVIEW Hudson Advisor Services, Inc. provides investment advisory and family office services to individuals, families, and institutions. William N. Hudson, Jr., CEO, founded

More information

TFC Financial Management, Inc. Form ADV Part 2B. Brochure Supplement

TFC Financial Management, Inc. Form ADV Part 2B. Brochure Supplement Form ADV Part 2B Brochure Supplement May 19, 2014 Website: www.tfcfinancial.com E-mail: info@tfcfinancial.com This Brochure Supplement provides information about Jane Taubner Barney, Kathleen A. Chianca,

More information

Client Questions & Answers The Bank of Kentucky

Client Questions & Answers The Bank of Kentucky Client Questions & Answers The Bank of Kentucky We re excited about our future with BB&T and look forward to continuing to serve you. Be assured that you will continue to see the same smiling faces and

More information

We Build and Preserve Wealth. Elmwood Wealth Management

We Build and Preserve Wealth. Elmwood Wealth Management Elmwood The Elmwood Vision By identifying your individual or family goals, we create a comprehensive wealth management plan specific to your needs. We then implement a portfolio designed to provide the

More information

BRYAN T. FORMAN 112 E. Line Street; Suite 310 Tyler, Texas 75702

BRYAN T. FORMAN 112 E. Line Street; Suite 310 Tyler, Texas 75702 BRYAN T. FORMAN 112 E. Line Street; Suite 310 Tyler, Texas 75702 Telephone: 903.597.2221 Email: bryan@bryanforman.com Digital 903.520.6786 Web: www.bryanforman.com CAREER HISTORY Present: THE FORMAN LAW

More information

The Investment Committee of Envestnet (titled the PMC Investment Committee) consists of seven members:

The Investment Committee of Envestnet (titled the PMC Investment Committee) consists of seven members: Investment Committee of Envestnet Asset Management, Inc. 35 East Wacker Drive, Suite 2400 Chicago, IL 60601 312 827 2800 www.envestnet.com March 31, 2014 This Brochure Supplement provides information about

More information

LNC provides its partners with flexible capital solutions and the strategic support to drive value creation for all stakeholders

LNC provides its partners with flexible capital solutions and the strategic support to drive value creation for all stakeholders LNC provides its partners with flexible capital solutions and the strategic support to drive value creation for all stakeholders LNC Partners is a Northern Virginia based investment firm with over $235

More information

CHIEF EXECUTIVE OFFICER

CHIEF EXECUTIVE OFFICER Todd Purich, Managing Director of LEGACYpcs, is one of a select number of leading insurancebased financial service professionals chosen to be a member of The Nautilus Group, a network of over 200 members

More information

2012 IRC ORAL PANEL INVESTMENT RESEARCH CHALLENGE TEXAS

2012 IRC ORAL PANEL INVESTMENT RESEARCH CHALLENGE TEXAS 2012 IRC ORAL PANEL INVESTMENT RESEARCH CHALLENGE TEXAS. Donald W. Hultgren CFA Sterne Agee Donald W. Hultgren is affiliated with the Sterne Agee investment banking firm in Birmingham Alabama. He offices

More information

How To Choose A Top Ten List Of People To Work With

How To Choose A Top Ten List Of People To Work With CFA INSTITUTE RESEARCH CHALLENGE SOUTHWEST US HOSTS Leah R. Bennett, CFA, CIC Co-Chief Investment Officer South Texas Money Management Leah R. Bennett, CFA joined South Texas Money Management in 2013 and

More information

Financial Advisor Interview Questionnaire

Financial Advisor Interview Questionnaire Financial Advisor Interview Questionnaire Advisor name: Company Name: Cyril S. White White House Financial & Investment Solutions, LLC Date: January 16, 2012 Why did you become a financial planner? I became

More information

Introduction to SP Financial Group. Raymond James & Associates, Inc., member New York Stock Exchange/SIPC

Introduction to SP Financial Group. Raymond James & Associates, Inc., member New York Stock Exchange/SIPC Introduction to of Raymond James was formed to provide specialized fixed-income portfolio services to independent registered investment advisors, financial planners, and asset managers all across the country.

More information

Canby Financial Advisors, LLC 161 Worcester Road, Suite 408 Framingham, MA 01701 (508)598-1082. http://www.canbyfinancial.

Canby Financial Advisors, LLC 161 Worcester Road, Suite 408 Framingham, MA 01701 (508)598-1082. http://www.canbyfinancial. Item 1 Cover Page Canby Financial Advisors, LLC 161 Worcester Road, Suite 408 Framingham, MA 01701 (508)598-1082 http://www.canbyfinancial.com March 5, 2015 This Brochure provides information about the

More information

Trinen Wealth. There s Wealth in Our Approach. 3003 East Harmony Road Suite 400 Fort Collins, CO 80528

Trinen Wealth. There s Wealth in Our Approach. 3003 East Harmony Road Suite 400 Fort Collins, CO 80528 Trinen Wealth Management Group There s Wealth in Our Approach. 3003 East Harmony Road Suite 400 Fort Collins, CO 80528 Phone: (970) 282-6565 Toll Free: (888) 300-0143 Fax: (970) 206-1464 www.rbcwmfa.com/michael.trinen

More information

Our Team Advisory Personnel

Our Team Advisory Personnel Our Team Advisory Personnel Brochure Supplement Douglas A. Neimann President and Chief Investment Officer Eric L. Pirkl Investment Manager Deborah D. Weiss Managing Director, Okabena Advisors Form ADV

More information

Northview Asset Management, LLC. Form ADV Part 2B Brochure Supplement. Samuel R. Granett Chief Executive Officer & Chief Investment Officer

Northview Asset Management, LLC. Form ADV Part 2B Brochure Supplement. Samuel R. Granett Chief Executive Officer & Chief Investment Officer 12117 FM 2244 Building III, Suite 280 Austin, TX 78738 855-373-2900 www.northviewam.com Form ADV Part 2B Brochure Supplement May 5, 2016 Samuel R. Granett Chief Executive Officer & Chief Investment Officer

More information

Traff Asset Management BROCHURE SUPPLEMENTS ADV PART II

Traff Asset Management BROCHURE SUPPLEMENTS ADV PART II BROCHURE SUPPLEMENTS BROCHURE SUPPLEMENT JASON D. TRAFF This Brochure Supplement provides information about Jason D. Traff that supplements the Traff Asset Management ADV Part II Brochure. If you have

More information

CAREER OPPORTUNITIES IN FINANCE Department of Finance, Real Estate, and Insurance

CAREER OPPORTUNITIES IN FINANCE Department of Finance, Real Estate, and Insurance CAREER OPPORTUNITIES IN FINANCE Department of Finance, Real Estate, and Insurance PURPOSE OF THE ACADEMIC MAJORS The Bachelor of Science in Business Administration at CSUN offers options in Finance, Real

More information

What is an Investment Adviser?

What is an Investment Adviser? What is an Investment Adviser? Legal Definition. Investment adviser is a legal term that appears in the Investment Advisers Act of 1940, the federal law that governs investment advisers. Generally, this

More information

Constructing Your Investment Portfolio Advanced

Constructing Your Investment Portfolio Advanced Constructing Your Investment Portfolio Advanced Strategies to Reduce Volatility and Enhance Returns 2014 FPANY s 12 th Annual Financial Fitness Workshop Presented by: Lewis J. Altfest, CFP, CFA, CPA, PFS

More information

CIBC INVESTOR DAY SPEAKER BIOGRAPHIES. Victor G. Dodig. President and Chief Executive Officer, CIBC

CIBC INVESTOR DAY SPEAKER BIOGRAPHIES. Victor G. Dodig. President and Chief Executive Officer, CIBC Victor G. Dodig President and Chief Executive Officer, CIBC Victor Dodig is President and Chief Executive Officer of the CIBC group of companies, one of North America's largest financial services institutions.

More information

What Can I Do With A Major In Finance? The Finance Major at SAU: Career Paths in Finance:

What Can I Do With A Major In Finance? The Finance Major at SAU: Career Paths in Finance: This handout provides a brief introduction to possible careers in Finance. The Finance Major at SAU: The finance major at Southern Adventist University is designed to develop Christ-centered financial

More information

Additional information about TPW Financial also is available on the SEC s website at www.adviserinfo.sec.gov.

Additional information about TPW Financial also is available on the SEC s website at www.adviserinfo.sec.gov. The Program Works, Inc. (dba TPW Financial) 450 Lexington Street, Suite 203 Newton, MA 02466 Contact: Chitra R. Staley, CEO&CIO 617-614-9889 cstaley@tpwfinancial.com www.tpwfinancial.com Date of Brochure:

More information

Vision Capital Management, Inc. Form ADV Part 2B Brochure Supplements on Our Advisory Employees April 29, 2016

Vision Capital Management, Inc. Form ADV Part 2B Brochure Supplements on Our Advisory Employees April 29, 2016 Vision Capital Management, Inc. on Our Advisory Employees April 29, 2016 Vision Capital Management, Inc. 1 April 29, 2016 [Page intentionally left blank] Vision Capital Management, Inc. 2 April 29, 2016

More information

REDWOOD INVESTMENTS, LLC One Gateway Center, Suite 802 Newton, MA 02458 617-467-3000 www.redwoodinv.com

REDWOOD INVESTMENTS, LLC One Gateway Center, Suite 802 Newton, MA 02458 617-467-3000 www.redwoodinv.com One Gateway Center, Suite 802 Newton, MA 02458 617-467-3000 www.redwoodinv.com Firm Brochure (Part 2A and 2B of Form ADV) March 28, 2014 This Brochure provides information about the qualifications and

More information

SAMPLE INVESTMENT POLICY STATEMENT

SAMPLE INVESTMENT POLICY STATEMENT SAMPLE INVESTMENT POLICY STATEMENT 2003 Prepared by: Jay D. Ahlbeck, CLU, ChFC JDA & Associates Securities and Advisory Services offered through Mutual Service Corporation, a Registered Investment Advisor,

More information

Wayne Watts Senior Executive Vice President and General Counsel AT&T Inc.

Wayne Watts Senior Executive Vice President and General Counsel AT&T Inc. Wayne Watts Senior Executive Vice President and General Counsel Wayne Watts, senior executive vice president and general counsel, is responsible for all legal matters at AT&T. He was appointed to his current

More information

David Finley Managing Director 617.695.0201 dave@sverica.com

David Finley Managing Director 617.695.0201 dave@sverica.com David Finley Managing Director 617.695.0201 dave@sverica.com Mr. Finley is a Managing Director in Sverica's Boston office, having joined the firm in October 2006. Mr. Finley leads Sverica s investments

More information

Client Services. Investments since 1901

Client Services. Investments since 1901 Client Services Investments since 1901 INVESTMENTS Equities Fixed Income Mutual Funds Unit Investment Trusts (UITs) Managed Money Accounts Services Wealth Management Asset Management Retirement Planning

More information

EAGLE BOSTON INVESTMENT MANAGEMENT, INC.

EAGLE BOSTON INVESTMENT MANAGEMENT, INC. Part II - Page 1 Uniform Application for Investment Adviser Registration OMB Approval OMB Number: 3235-0049 Estimated average burden hours per response..... 9.01 Name of Investment Adviser: Address: Telephone

More information

Form ADV Part 2: Brochure Supplement

Form ADV Part 2: Brochure Supplement Bashar M. Qasem 703.207.7005 x101 This Brochure Supplement provides information about Bashar Qasem that supplements the Azzad Asset Management s brochure. You should have received a copy of that brochure.

More information

Financial Advisor Comparison Matrix

Financial Advisor Comparison Matrix General Type of firm SEC Registered Investment Adviser (RIA) RIA FINRA Registered Broker (RR) Hybrid (RIA/RR) Insurance Agent Other: RIA FINRA Registered Broker (RR) Hybrid (RIA/RR) Insurance Agent Other:

More information

LICENSES AND REGISTRATIONS

LICENSES AND REGISTRATIONS SEMINAR 5 Handout 5-2: : A Guide to Financial Credentials There are scores of credentials for financial advisors. Some are very good indicators of the person s training and skill, while others indicate

More information

Michael A. Guillemette

Michael A. Guillemette Michael A. Guillemette Office Address: Office: (573) 884-9188 239B Stanley Hall Cell: (678) 361-7269 University of Missouri E-mail: guillemettem@missouri.edu Columbia, MO 65211 EDUCATION Ph.D. in Personal

More information

Investment Management Group. Investments & Endowments A Primer for Nonprofit Leaders

Investment Management Group. Investments & Endowments A Primer for Nonprofit Leaders Investment Management Group Investments & Endowments A Primer for Nonprofit Leaders Investment Management Group The Chartered Financial Analyst (CFA) designation is conferred by the CFA Institute to financial

More information

The Weiner Wealth Management Group

The Weiner Wealth Management Group The Weiner Wealth Management Group Helping you pursue your financial goals. The Weiner Wealth Management Group Our mission is to guide our clients in their quest to preserve and grow their assets over

More information

Financial Advisor Value Proposition Page 2. Financial Advisor Types Page 4. Investment and Financial Planning Careers Page 5

Financial Advisor Value Proposition Page 2. Financial Advisor Types Page 4. Investment and Financial Planning Careers Page 5 Index Financial Advisor Value Proposition Page 2 Financial Advisor Types Page 4 Investment and Financial Planning Careers Page 5 Selecting a Sound Financial Advisor Page 6 Common Advisor Concerns Financial

More information

2013 Compliance Outreach Program Boston Regional Office - May 16, 2013

2013 Compliance Outreach Program Boston Regional Office - May 16, 2013 2013 Compliance Outreach Boston Regional Office - May 16, 2013 BIOGRAPHIES Melissa Clough Assistant Regional Director, Investment Adviser/ Investment Company Examination () Melissa Clough is an Assistant

More information

David Wright Durr, Ph.D., CFA, CFP Bauernfeind Endowed Chair in Investment Management College of Business and Public Affairs Murray State University

David Wright Durr, Ph.D., CFA, CFP Bauernfeind Endowed Chair in Investment Management College of Business and Public Affairs Murray State University David Wright Durr, Ph.D., CFA, CFP Bauernfeind Endowed Chair in Investment Management College of Business and Public Affairs Murray State University Office Address: Marital Status: Citizenship: 307 Business

More information

Firm Brochure Supplement (Part 2B of Form ADV)

Firm Brochure Supplement (Part 2B of Form ADV) Firm Brochure Supplement (Part 2B of Form ADV) 9200 Montgomery Road Cincinnati, Ohio 45242 (513) 771-7222 (888) 234-7982 www.taaginc.com info@taaginc.com This brochure supplement provides information about

More information

We understand our clients needs and concerns

We understand our clients needs and concerns 0 1 We understand our clients needs and concerns We know and understand risks are inherent in almost every aspect of our lives. We work to reduce the risks associated with your need to secure a strong

More information

JOSHUA R. PIERCE. Corporate Finance, International Finance, Financial Constraints, Labor Markets, Risk Management, Capital Structure

JOSHUA R. PIERCE. Corporate Finance, International Finance, Financial Constraints, Labor Markets, Risk Management, Capital Structure JOSHUA R. PIERCE Office Address: University of Kentucky Gatton College of Business 550 S. Limestone St. Lexington, KY 40526 Contact Information: joshua.pierce@uky.edu 859-257-2882 EDUCATION Ph.D. in Business

More information

Form ADV Part 2A (Firm Brochure) HORAN Wealth Management 4990 East Galbraith Road Cincinnati, OH 45236 513.745.0707 www.horanassoc.

Form ADV Part 2A (Firm Brochure) HORAN Wealth Management 4990 East Galbraith Road Cincinnati, OH 45236 513.745.0707 www.horanassoc. Form ADV Part 2A (Firm Brochure) HORAN Wealth Management 4990 East Galbraith Road Cincinnati, OH 45236 513.745.0707 www.horanassoc.com January 1, 2016 This document provides information about the qualifications

More information

TD Wealth Private Investment Advice PERFORMANCE UPDATE 03. 31. 2013

TD Wealth Private Investment Advice PERFORMANCE UPDATE 03. 31. 2013 PERFORMANCE UPDATE 03. 31. 2013 Krygier Wealth Management: Who are we? Directly managing over $140 million of individual client portfolios Portfolio Manager: Mark J. Krygier, LL.B, CFP Vice President TD

More information

Office of the Comptroller of the Currency

Office of the Comptroller of the Currency (1 of 6) Interpretations - Conditional Approval #208 Office of the Comptroller of the Currency Interpretations - Conditional Approval #208 Published in Interpretations and Actions August 1996 June 28,

More information

PRICE T ROWE GROUP INC

PRICE T ROWE GROUP INC PRICE T ROWE GROUP INC FORM 8-K (Current report filing) Filed 09/10/15 for the Period Ending 09/10/15 Address 100 EAST PRATT STREET P.O. BOX 89000 BALTIMORE, MD 21289-0320 Telephone 4103452000 CIK 0001113169

More information

Graduate Business Programs SDSU College of Business Administration. MBA Program of Study Worksheet. Finance Specialization

Graduate Business Programs SDSU College of Business Administration. MBA Program of Study Worksheet. Finance Specialization Graduate Business Programs SDSU College of Business Administration MBA Program of Study Worksheet Finance Specialization Program of Study Worksheet: MBA Finance Specialization The MBA requires a 30 48

More information

Morgan Stanley. R & R Partners. 522 Fifth Avenue, 15th Floor New York, NY 10036 (212)-296-1031. www.morganstanleyfa.com/rudowramos

Morgan Stanley. R & R Partners. 522 Fifth Avenue, 15th Floor New York, NY 10036 (212)-296-1031. www.morganstanleyfa.com/rudowramos R & R Partners 522 Fifth Avenue, 15th Floor New York, NY 10036 (212)-296-1031 www.morganstanleyfa.com/rudowramos 0 Table of Contents Our Mission Page 2 Wealth Management Page 3 Why R and R Partners? Page

More information

Finding the Right Investment Advisor: Key Questions Pilots Need to Ask Now

Finding the Right Investment Advisor: Key Questions Pilots Need to Ask Now Finding the Right Investment Advisor: Key Questions Pilots Need to Ask Now At Cleary Gull, we think the best way to find the right investment advisor is to focus on the four Ps: people, philosophy, process

More information

Press Release. Seven member Committee announced to review proposals for $50 million economic development loan and grant incentives

Press Release. Seven member Committee announced to review proposals for $50 million economic development loan and grant incentives Press Release For Immediate Release: June 22, 2012 For Information Contact: Scott L. Peterson Press Secretary Office of the County Executive (240) 508-1989 The Office of Prince George s County Executive

More information

Mutual Fund Basics TYPES OF MUTUAL FUNDS WHAT ARE THE BENEFITS OF INVESTING IN A MUTUAL FUND?

Mutual Fund Basics TYPES OF MUTUAL FUNDS WHAT ARE THE BENEFITS OF INVESTING IN A MUTUAL FUND? Mutual Fund Basics A mutual fund pools the money of many investors to purchase securities. The fund s manager buys securities to pursue a stated investment strategy. By investing in the fund, you ll own

More information

Value-Added Financial Solutions for Growing Health Care Companies Specializing in the Following Sectors:

Value-Added Financial Solutions for Growing Health Care Companies Specializing in the Following Sectors: Long-Term Creative Health Capital is a merchant bank focusing exclusively on the health care industry. Our mission is to advise and partner with health care provider, health care facility and health care

More information

Hyrum L. Smith, Ph.D., CFP, CPA

Hyrum L. Smith, Ph.D., CFP, CPA Hyrum L. Smith, Ph.D., CFP, CPA 800 W. University Parkway 801-863-8473 (Office) Orem, UT 84058-5999 801-863-7218 (Fax) 540-808-3360 (Home) Email: hyrum.smith@uvu.edu EDUCATION Ph.D., Personal Financial

More information

GARY A. KLEIN. Experience The Klein Law Group, Boca Raton, Florida February 2012-Present

GARY A. KLEIN. Experience The Klein Law Group, Boca Raton, Florida February 2012-Present GARY A. KLEIN TEL. (561) 704-5897 gkleinlaw@yahoo.com ------------------------------------------------------------------------------ Experience The Klein Law Group, Boca Raton, Florida February 2012-Present

More information