Business Description
An Investors Capital Advisor can help you plan your financial future. An investment plan will prepare you for buying a home, a comfortable retirement and providing for the future of your family
General Information Gender:    Male CRD#:    2306506 Firm CRD#:    30613 Insurance License#:    0834973 Name of Broker/Dealer:    Investors Capital Name of Custodial Firm:    David Chow Insurance States Licensed in:    Ca States Willing to do Business in:    Ca Years of Experience in Financial Services:    16 Number of Years with Current Firm:    3 Work Experience:    providing financial service since 1992, service include asset management,1031 exchange, alternative investments, & employee benefit program I work with the following types of clients:    Businesses, Non-Profit Organizations, Individual Investors Foreign Languages Serviced:    Chinese
Education Academic Background   graduate from College of Notre Dame in 1985 as BS in mathmetic
Services Investment Types:    Stocks, Bonds, Annuities, Insurance, Mutual Funds, FOREX & Currency, Options & Futures, Alternative Investments, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)
Qualifications & Memberships Securities Licenses:    Series 4, Series 7, Series 65 Insurance and Annuity Licenses:    Disability, Property, Casualty, Accident, Annuity, Health, HMO, Variable Life, Life, Variable Annuity, Long Term Care
Firm Information Number of Advisors in Office:    Up to 10 employees Assets Managed by Firm:    $1000mil Advisor's Number of Clients:    40 Advisor's Number of Managed Clients:    12 Advisor's Number of Planning Clients:    2 Assets Managed by Advisor:    $3000K
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 & Fees I am a fee-based financial professional:    Yes Minimum Portfolio Size for New Managed Accounts:    $100K Compensation Methods:    Hourly, Commissions, Based on Assets Fee % Based on Assets:    1.25 Hourly Rate:    $200. Flat Fee Rate:    $200. Minimum Fee Charged for Managed Accounts:    $50K Minimum Fee Charged for Hourly Planning Accounts:    $200 Minimum Fee Charged for Flat Fee Accounts:    $200
Prepared By:	David Chow

Frequently Asked Questions

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