My Firm
I am a full-service independent financial planning firm headquartered in La Crescenta, CA, committed to helping people pursue their financial goals. I serve Space Professionals and SpaceX employees at all stages of their life. I truly love to serve you. I have over 25 years of financial services experience to bring to the table to help you, as well as lots of additional resources I've gathered over the years in many areas of financial services.
RBC Clearing & Custody
Keeping Your Assets Safe and Secure
My firm has a contractual agreement with RBC Clearing & Custody, a division of RBC Capital Markets, LLC, to serve as my clearing firm. This fully disclosed clearing agreement states the responsibility of each party. Prior to the agreement becoming effective, RBC Clearing & Custody is responsible for making all disclosures to our firm's designated examining authority as required by FINRA Rule 4311. Each client of my firm is notified of the relationship via a disclosure letter. The disclosure letter details the responsibilites that my firm (the introducing broker-dealer) and RBC Capital Markets, LLC (the clearing firm) have to the client. Although client assets are held by RBC Capital Markets, LLC, neither RBC Capital Markets,LLC, nor its parent company, Royal Bank of Cananda, has responbility for the financial condition or performance of my firm.
