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Featured Business Financial Advisor in Scottsdale, AZ
Scottsdale Financial Advisors
Wealth Management Solutions, LLC
8550 E Shea Blvd, Ste #130
Scottsdale, AZ 85260
(480) 609-4334
“Bringing Clarity to Complex Situations”
Advisor Profile
Joe Vazquez
Name:  Joe Vazquez
Phone Number:  (480) 609-4334
Website:  Visit Website
Disclosure Link:
www.wmsus.com/disclosures.ht...

About Wealth Management Solutions, LLC

Retirement or 401k Rollover? You and I may have already met. After engaging with Fortune 500 companies and their employees to provide education and advice on their retirement plans, I have had the opportunity to speak with hundreds of clients across the country and assist them with their financial goals. Because I have been invited to review and advise on investments for many employers and their employees, there is a breadth of knowledge that many younger advisors and investment salesmen do not have. The nearly 20 years of experience you see to the right of this paragraph --> ensures that you are working with a partner who has helped clients through some of the toughest markets and financial strains encountered in generations.

We maintain a select number of client and family relationships, and get to know your situation inside and out. I will help you maximize your wealth by making the most of your company benefits (401(k) plan, restricted stock, stock options, deferred compensation plans), by managing investments, through income tax planning, estate and gift planning, and when income is needed: by turning your investments into a reliable income stream. You can be confident in the advice we give, as we will gladly put it in writing. As a client, you will receive detailed follow up emails after our meetings so we can ensure there is no question as to what we recommended, and why. Our meetings are never just a review of your most recent statement.
 

General Information

CRD#:    4237649
Firm CRD#:    127517
Name of Custodial Firm:    Charles Schwab & CO and TD Ameritrade
States Licensed in:    AZ
States Willing to do Business in:    Cave Creek,Chandler,Fountain Hills,Glendale,Mesa,Paradise Valley,Phoenix,Scottsdale,Sun City,Tempe
Years of Experience in Financial Services:    19
Number of Years with Current Firm:    5
Work Experience:    For the past 19 years, I have advised clients, most recently with WMS. Part of my tenure has been as a Retirement Plan Advisor for 7 years. Throughout my career, I have worked with Corporate Executives and their employees across the country to advise and simplify their investment needs. As a wealth manager, I provide valuable advice in all areas of financial planning and investment management to help my clients achieve their financial goals.
I work with the following types of clients:    Non-Profit Organizations, Trusts, Individual Investors, Businesses
 

Services

Investment Types:    International Investments, Alternative Investments, Mutual Funds, Bonds, Stocks, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)
I can meet clients in the following ways:    Via email, At my office, Via phone
 

Qualifications & Memberships

Securities Licenses:    Series 66, Series 7
Financial Organization Memberships:    Financial Planning Association (FPA)
 

Firm Information

Firm's Number of Clients:    90
Firm's Number of Planning Clients:    75
Firm's Number of Managed Clients:    90
Assets Managed by Firm:    $120,000,000
Advisor's Number of Clients:    55
Advisor's Number of Managed Clients:    55
Advisor's Number of Planning Clients:    45
Assets Managed by Advisor:    $25,000,000
 

Compliance

Registered Investment Advisor:    Yes
Registered Representative:    Yes
Investment Advisor Representative:    Yes
I am an acknowledged fiduciary:    Yes
Compliance Disclosures in Last 5 years:    I have a clean record
Criminal Disclosures in Last 5 years:    I have a clean record
 

Compensation and Fees

Fee Structure:    I am a Fee-Only financial professional
Minimum Portfolio Size for New Managed Accounts:    $250,000
Compensation Methods:    Flat Fee, Hourly, Based on Assets
Fee % Based on Assets:    1
Hourly Rate:    $200
Additional Details on Charges:    We work on a fee-only basis which means we can only be compensated by our clients - we do not receive financial incentives from any third party such as brokerage firms, investment companies, or insurance companies.

This is our only method of compensation and it is the same way you compensate other professionals you depend on for specialized knowledge and services, for example your doctor, CPA or attorney. Paying your advisor directly eliminates several potential conflicts of interest because our advice is not impacted by the interests of third parties.
Minimum Fee Charged for Managed Accounts:    $3,000
Minimum Fee Charged for Hourly Planning Accounts:    $3,000
 
 
 
Prepared By: Joe Vazquez

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