My Qualifications and Services

Brett has worked with individuals and businesses managing their assets since 1998.  His goal is to help clients reach their goals while helping them manage risk in their investments. Brett’s experience with the volatile markets has convinced him that the key to financial success is learning to control your emotions while using methods that control risk.  Brett is not a salesman.  He only sells himself and his style of asset management.  For this reason he manages his client's assets in the same manner he invests his own money.  

Degrees, Accreditations, and Achievements

  • Bachelors Business Administration- University of Phoenix
  • Graduate Intermediate Broker Institute (Dorsey Wright & Associates) specializing in Point & Figure Technical Analysis*
  • Graduate Advanced Broker Institute (Dorsey Wright & Associates) specializing in Point & Figure Technical Analysis*
  • Level 3 candidate for the CMT (Chartered Market Technician) designation (Technical equivalent to the CFA designation)
  • Senior Quantum Portfolio Manager
  • Private Investment Portfolio Manager (PIM)  

*Technical analysis is based on the study of historical price movements and past trend patterns. There is no assurance that these movements or trends can or will be duplicated in the future.

 

Securities registrations:

  • Series 7-General Securities Representative
  • Series 31- Managed Futures
  • Series 63-Uniform State Registration
  • Series 65-Uniform Investment Advisor Representative 

Insurance Licenses:

  • Annuities
  • Life
  • Health
  • Disability

My Services

I serve individuals and businesses in all areas of investment planning, including:

Portfolio management-Handle client assets for corporate and individual retirement accounts, all taxable accounts, pension plans, institutional funds, as well as for profit and non-profit organizations. 

Retirement planning -Help make the most of your employer-sponsored retirement plans and IRAs. Determine how much you need to retire comfortably. Help manage assets before and during retirement. 
 
Access to lending services, through our affiliates-Lines of credit, Home mortgages, Corporate loans, Small Business loans, Equipment Financing, and 1031 Exchanges*
 
Insurance-Business and Personal insurance through affiliates
 
Estate planning** -Work with our estate-planning and trust specialists to review your wills and trusts, while helping to preserve your estate for your intended heirs. Help with beneficiary designations and reduce potential exposure to estate taxes and probate costs. Coordinate with your tax and legal advisors.

Education funding Strategies –Recommend investment and accumulation strategies to help you pay for your children's education.
 
Risk management -Review existing insurance policies.  When suitable, help find a new policy for your specific situation.

Investments -Determine your asset-allocation needs while helping you understand your risk tolerance. Recommend the appropriate investment vehicles to help you reach your goals. 
 
Employee and executive benefits -Help your business attract and retain qualified employees through customized benefit packages. 
  
* Lending and other banking services available through the Banking Services Group of Wachovia Securities are offered by banking and non-banking affiliates of Wachovia Corporation, including, but not limited to Wachovia Mortgage Corporation (Wachovia Mortgage, FSB as of 2/19/08), Wachovia Bank, National Association, Wachovia Bank of Delaware, National Association, or Wachovia Financial Services, Inc. All loans and lines of credit are subject to credit approval, verification and collateral evaluation. Initial decision is subject to you meeting specific underwriting requirements and final approval will be based upon your satisfying those requirements.
 
**Wachovia Securities does not provide tax or legal advice. Please consult with your tax and legal advisors before taking any action that may have tax consequences.