Broker Check


Establish Financial Goals- Encourage the client to express concerns and goals. Help the client to restate goals that are specific and, quantifiable. Prioritize competing goals.


Gather Relevant Data- Gather all relevant information, both objective and subjective through fact finding forms, questionnaires, counseling, and examination of documents.


Analyze the Data- Identify the strengths and the weaknesses in the client’s present financial condition as they affect the ability to achieve the client’s goals. Revise goals if necessary.


Develop a Plan- Design a set of recommended strategies tailored to the clients circumstances and goals, including alternative ways of achieving - those goals. Draw on other experts as needed. Obtain client approval.


Implement the Plan- Motivate and help the client acquire all the necessary financial products and services to put the plan into action. Draw on other experts as needed.


Monitor the Plan- Evaluate the performance of all implementation vehicles. Review changes in the client’s circumstances and the financial environment. Revisit the steps when necessary.

*Hold Annual & Semi-Annual Client Reviews