For my entire career, I have always conducted business by one principle: “I give the kind of advice that I would want to receive if I were that person sitting on the other side of the desk.” With that in mind, I offer both brokerage and fee based investment options and account platforms. The recommendations that I give are based on what I see as being in the clients best interest for the duration of their investment goal(s).
Brokerage Investments
Sometimes it is more cost effective to pay a commission for a trade(s) instead of a fee for the entire account balance. For that reason, I offer the following brokerage investment options and account types to our clients where it makes more sense to pay by the trade:
Brokerage Investment Options
- Equity investments including common & preferred stocks, exchange-traded funds and mutual funds
- Fixed income investments including corporate, government, municipal bonds, certificates of deposit (CDs) and mutual funds
- Variable, fixed and immediate Annuities
- Saving, Spending and Borrowing Solutions including Money Market Funds
- Systematic Investing, also known as “Dollar Cost Averaging”
Brokerage Account Types
- Single, Joint, Trust and Business Entity Registration accounts.
- Individual retirement accounts including Traditional and Roth IRAs
- 529 and Coverdell Education Savings Plans
- Employer Retirement Plans including SIMPLE IRA, SEP IRA, 401(k), 403(b), 457(b), Defined Benefit and Profit-sharing plans.
Fee Based Investment Account Options
For clients who prefer to pay an annual fee on their account holdings rather than paying commissions, I offer the following fee based account platforms, investment options, and account types through our partnership with LPL Financial:
Fee Based Account Platforms
- Strategic Asset Management (SAM)
- Manager Select
- Guided Wealth Portfolios (GWP)
- Optimum Market Portfolios (OMP)
- Model Wealth Portfolios (MWP)
- Personal Wealth Portfolios (PWP)
Detailed descriptions, disclosures and disclaimers for the aforementioned fee based account platforms can be found by clicking here.
Investment Options in Fee Based Accounts
- Equity investments including common & preferred stocks, exchange-traded funds and mutual funds
- Fixed income investments including corporate, government, municipal bonds, certificates of deposit (CDs) and mutual funds
- Variable Annuities
- Saving, Spending and Borrowing Solutions including Money Market Funds
- Systematic Investing, also known as “Dollar Cost Averaging”
Fee Based Account Types
- Single, Joint, Trust and Business Entity Registration accounts.
- Individual retirement accounts including Traditional and Roth IRAs
- Employer Retirement Plans including SIMPLE IRA, SEP IRA, 401(k), 403(b), 457(b), Defined Benefit and Profit-sharing plans.
To work with Nick to determine what services, account types and investment options are appropriate for you, feel free to reach out by clicking here.
