AC
Firm Information
Compensation
N/A
Number of Advisors
316 advisors
Number of Clients
280 clients
Average Client Portfolio
$293K average
Assets Under Management
$82.0M
Fee Structure
Minimum Investment:$50K
Financial Planning:Investment management only
AFA receives compensation from FIWA based on a percentage of your managed assets, up to 1.5%. Your IAR (Investment Advisory Representative) receives a portion of this fee and can negotiate a reduction. The fees are charged quarterly, in advance, based on the market value of your account. The table above shows the fee ranges for different account sizes. These fees cover investment advice and trading costs within the FMAX wrap fee program.
Areas of Practice
Investment Management
Loading...
Advisor Information
Office location
333 Gellert Blvd Ste 228, Daly City, CA, 94015-2660
Get directionsRegulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
February 2012Customer Dispute
January 2009Denied
Judgment / Lien
February 1994Employment History
Current Registrations
Allstate Financial Advisors, LLC
March 2013 - Present · 12 yrs 10 mos
Allstate Financial Services, LLCBroker
March 2013 - Present · 12 yrs 10 mos
Previous Registrations
Eagle Strategies LLC
March 2010 - March 2012 · 2 yrs
Nylife Securities LLCBroker
April 2009 - March 2012 · 2 yrs 11 mos
Aci
January 2007 - January 2009 · 2 yrs
Citicorp Investment ServicesBroker
April 2005 - May 2006 · 1 yr 1 mo
Citicorp Investment Services
April 2005 - May 2006 · 1 yr 1 mo
Morgan Stanley
January 2001 - April 2005 · 4 yrs 3 mos
Morgan Stanley Dw INC.Broker
September 2000 - April 2005 · 4 yrs 7 mos
CueBroker
June 1997 - August 2000 · 3 yrs 2 mos
CueBroker
June 1997 - June 1997 · 0 mos
MML Investors Services, INC. Broker
February 1995 - June 1997 · 2 yrs 4 mos
John Hancock Distributors, INC.Broker
July 1993 - January 1995 · 1 yr 6 mos
John Hancock Mutual Life Insurance CompanyBroker
July 1993 - January 1995 · 1 yr 6 mos
State Registrations2 states
CATX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.