Credentials

Financial Stewards, LLC is setup as an RIA (Registered Investment Advisor) to offer unbiased fee based Asset Management. We also offer sought after solutions including Advanced Financial Planning, Advanced Annuity solutions, and Advanced Life Insurance solutions.

As the president of Financial Stewards LLC, I currently hold the following licenses:

  • Series 6 (ability to transact in many types of financial instruments, eg. mutual funds, except those needing a Series 7, eg. stocks)
  • Series 65 ("Financial Advisor" title - ability to charge a flat fee or percentage of assets for asset management)
  • Series 63 (ability to help clients in all 50 states)
  • Life, health and long-term-care insurance  
The above licenses are under the purview of FINRA (formally NASD) and the Colorado State Insurance Commissioner. Both the securities and insurance licenses have CE (continuing education) requirements which must be fullfilled every 1 to 2 years.
 
 
 
Awards
 
Master Council, Prudential Annuities, 2009, 2010, 2011
Gold Eagle, Million Dollar Producer, American Equity, 2009, 2011
Ascent Club, high production Advisor, 2009
Rookie of the Year, New York Life, Colorado, 2006