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Thousand Oaks Office
3323 Old Conejo Rd.
As a financial advisor, I play a role in your life’s most meaningful moments. You trust me to assess your needs, understand your concerns, offer the most relevant recommendations to address your unique situation and to provide clarity of thought. I do not take your trust lightly and strive to earn it every day.
I am supported by a network of premier partners, who bring strength, stability and security to strategies that are designed to work for today and tomorrow. All with one goal in mind — your success. I think it is important that I introduce them to you.
I am affiliated with SagePoint Financial, an independent wealth management firm that provides me with back office, technology, regulatory and operational support.
SagePoint Financial is an independent wealth management firm with close to 1,400 independence-minded financial advisors with offices across the United States. Founded in 1970, SagePoint Financial is driven by a strong philosophy that independence is key to fulfilling sound investment decisions. My affiliation with the firm empowers me to put your interests first with objective, carefully considered offerings — with no obligation to promote any particular investment.
Through my affiliation with SagePoint Financial I benefit from a vast range of resources and support:
SagePoint Financial plays an important role in professional oversight and combining performance with responsibility:
My affiliation with SagePoint Financial allows me to:
Have you ever wondered what exactly happens to your funds once you’ve decided to make an investment? An advisor’s “clearing firm” may have a lot to do with the answer. Pershing, a BNY Mellon company, (member FINRA, NYSE, and SIPC)—a trusted, established, and financially stable financial services firm— provides clearing services for my practice.
A clearing firm works with various financial exchanges to handle confirmation, delivery and settlement of your financial transactions.
Such firms employ technology and procedures designed to ensure that transactions are processed in a timely and efficient manner. Additionally, clearing firms prepare and send periodic account statements and transaction confirmations to investors. The SEC and FINRA, the regulatory bodies that oversee broker-dealers, also oversee clearing firms.
Pershing has been a leading global provider of financial business solutions for more than 75 years and serves many of the world’s most respected financial organizations. Your assets are not held at my firm, nor are they held at SagePoint. Pershing is a separate and independent entity, and a subsidiary of The Bank of New York Mellon Corporation, a leading provider of financial services for institutions, corporations and high-net worth individuals.
Pershing is a member of SIPC, which protects securities customers of its members up to $500,000 (including $250,000 for claims for cash). An explanatory brochure is available upon request or at sipc.org.
In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits from certain underwriters in Lloyd’s insurance market and other commercial insurers. The excess of SIPC coverage is valid through February 10, 2020 for Pershing LLC accounts. It provides the following protection for Pershing LLC’s global client assets:
SIPC and the excess of SIPC coverage do not protect against loss due to market fluctuation.
An excess of SIPC claim would only arise if Pershing failed financially and client assets for covered accounts—as defined by SIPC—cannot be located due to theft, misplacement, destruction, burglary, robbery, embezzlement, abstraction, failure to obtain or maintain possession or control of client securities, or to maintain the special reserve bank account required by applicable rules.
Lloyd’s currently holds an A+ rating from Standard & Poor’s® (S&P®), an A rating from A.M. Best and an AA- rating from Fitch. These ratings are based on the financial strength of the company and are subject to change by the rating agencies at any time. * For more information about Lloyd’s, please see lloyds.com.
* Ratings as of August 2018.
The best of both worlds — that’s what my affiliation with SagePoint Financial offers me, and by extension, my clients.
SagePoint Financial recognizes the important role I play in the financial future of my clients and my community. I’m proud to be a member of the SagePoint Financial family.