Team

Tom started in the financial and insurance industry in 2013. Prior to financial planning, he held senior management roles over a 20 year period for various corporate environments including financial institutions. His development of strong customer service skills and financial skills while managing teams, customers and multi-million dollar budgets now applies to his clients’ financial strategies.  It is extremely important to Tom that he understands each client’s unique situation to help them pursue their financial goals.

CREDENTIALS:

• Member IAFP (International Association of Financial Planners)
• Representative Associate
• LPL Registered Representative
• FINRA Series 7*

*held through LPL Financial

A veteran in the financial services industry since 1983, Dave started his career as an independent insurance and investment broker.

Dave has built his personal practice, one client at a time, and works primarily with mid to high net worth investors. Utilizing a “service-oriented” approach to financial planning, Dave uses the entire range of tools available to pursue a successful objective for each client. Whether it is mutual funds, stocks, bonds, insurance, annuities or any other investing needs, Dave is licensed in and has the experience to use them all.

Dave’s mission statement is focused on individual needs as he helps each client “Plan for their Financial Independence!”

CREDENTIALS:

• Member IAFP (International Association of Financial Planners)
• LPL Investment Advisor Representative*
• Representative Associate
• LPL Registered Representative
• FINRA Series 7*

EDUCATION:

• B.A. Business Administration California State University, Pomona, Ca.

* held through LPL Financial