Broker Check

Strategy and Implementation

How We Work

Your personal goals and priorities will drive the process. We will determine and implement a timeline based on your unique financial scenario.

After introductions and a complete client discovery process, together we will agree on your plan strategy and time horizon. We will then initiate the required account openings and asset transfers. When your assets have settled, we will reposition your assets based on your new plan strategy and time horizon.

The initial implementation timeline may vary depending on the financial scenario for your household. In general, the startup and implementation process can take from 3 to 6 weeks.

Stocks

NYSE listed stocks 

NASDAQ Over-The-Counter 

All other major exchanges 

Foreign stocks 

Margin accounts 

Corporate finance 

Employee stock option plans 

144 & other restricted securities sales 

Retirement Accounts

Defined benefit plans 

Defined contribution plans 

IRAs/SEPS 

Money purchase plans 

Profit sharing plans 

401(k) plans 

403(b) plans

Bonds

Municipal 

Treasury 

Bills, notes, bonds & strips 

Corporate 

Mortgage-backed 

CMO, GNMA, FNMA 

Government agency 

Certificate of deposit securities 

Structured note securities 

Equity-linked securities 

Preferred debt 

Mutual Funds

Open-end funds 

Closed-end funds

Insurance

Fixed & variable annuities 

Term life 

Variable life 

Universal life 

Whole life 

Disability 

Long-term care.

Asset Management

Independent manager search 

Performance monitoring & reporting 

Wrap-fee accounts 

Asset allocation 

Outside managed accounts 

Separately managed accounts

For more information about our firm and the services we offer, please give our office a quick call. We would welcome the opportunity to speak with you.

925-448-2489