*There is no substitute for the time taken to truly understand each person's individual needs and goals prior to formulating an appropriate investment plan.*
35 years in the financial services industry
Vice President, Financial Consultant - D.A. Davidson & Co. – Edmonds, WA
Assistant Vice President, Financial Consultant - A.G. Edwards & Sons - Edmonds, WA
Assistant Vice President, Financial Consultant - Piper Jaffray - Seattle, WA
2017 Seattle Magazine 5 Star Wealth Manager Award Winner
Bachelor of Arts Degree in Theology and Psychology - St. Olaf College
Undergraduate Business Education - University of Minnesota School of Business
Series 7 General Securities Representative
Series 63 Uniform Securities Law
Series 9 Option Sales Supervisor
Series 10 Securities Sales Supervisor
Securities registrations are held with LPL Financial
Five Star Wealth Manager award is based on 10 objective criteria.
Please note that all of this criteria must reflect the following:
1. Credentialed as an investment advisory representative (IAR) or a registered investment advisor;
2. Actively employed as a credentialed professional in the financial services industry for a minimum of five years.
3. Favorable regulatory and complaint history review. *
4. Fulfilled their firm review based on internal firm standards.
5. Accepting new clients.
Evaluation Criteria - Considered
1. One-year client retention rate.
2. Five-year client retention rate.
3. Non-institutional discretionary and/or non-discretionary client assets administered.
4. Number of client households served.
5. Education and professional designations.
*A favorable regulatory and complaint history review is defined by Five Star Professional, as the person cannot have: (1) Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine, (2) Had more than a total of three customer complaints filed against them (settled or pending) with any regulatory authority or Five Star Professional’s consumer complaint process, (3) Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority, (4) Filed for personal bankruptcy, or(5) Been convicted of a felony.
The 2017 Five Star Wealth Manager award does not evaluate the quality of service provided to clients. Recipients of the award may have had unfavorable ratings. 1,785 award candidates in the Seattle area were considered for the Five Star Wealth Manager award. 436, approximately 25% percent of award candidates, were named 2017 Five Star Wealth Managers. The 436 award winners represent less than 25% percent of the total wealth managers in the area. The award is not indicative of the wealth manager’s future performance. The Five Star Wealth Manager Award is administered by Crescendo Business Services, LLC (dba Five Star Professional). Candidates and winners do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Once awarded, winners, may opt to purchase additional profile ad space or related award promotional products.