here - Windsor Assets

UNCOMMON STRATEGIES
FOR WEALTH
TABLE OF CONTENTS
www.windsorassets.com
Securities offered through WFG Investments, Inc., Member FINRA & SIPC.
Investment advisory services offered through WFG Advisors, LP.
Our Firm
1
Guiding Principles
3
Our Core Values & Core Purpose
5
Our Services
7
Our Partner
9
The Anatomy
11
Roles & Responsibilities
13
Life is what happens to us while
we’re busy making other plans.
WE JUST THINK YOU NEED
A BETTER PLAN.
And that’s where we come in.
Located in Roseville, California, our dedicated group of financial
professionals share the common goal of providing you with the
experience, knowledge, and personalized service level you need
to confidently pursue your financial goals.
With a combined average of 23 years of experience in the financial
services industry, our seasoned team creates, implements, and
monitors customized financial plans tailored to you and your family’s
specific needs. We do this by thoroughly analyzing your complete
financial picture to ensure that our strategies reflect your values,
risk tolerance, and objectives.
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A foundation built on
ethics and trust...
THE GUIDING PRINCIPLES
OF HOW WE RUN OUR BUSINESS.
WORKING WITH US
In exchange for your confidence and honesty, we strive to
provide you with the highest level of customer service possible.
>>
We request that our clients be forthcoming with all relevant
financial information.
>>
If you are displeased with any element of our service, we request
that you contact us by phone or e-mail so that we may address
any issues that arise.
>>
YOU, the client, are not dependent on us; we are dependent
on YOU.
>>
YOU, the client, honor us by giving us an opportunity to earn
YOUR business.
>>
YOU, the client, are not to be argued with; “The customer is
always right.”
If you are unable to keep an appointment, we request that you
notify us a minimum of 24 hours in advance.
>>
If you are pleased with the service and the results you are
receiving, we would be honored to receive introductions to
friends, family members, or business colleagues whom you
believe would appreciate our services.
>>
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YOUR privacy is paramount. We hold in strictest confidence
all business and personal information pertaining to our
clients’ affairs.
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18
For us, our values
aren’t just words on a page...
WE LIVE THEM EVERY DAY
IN EVERY INTERACTION WITH YOU.
Our Core Values:
>>
A Passion for helping people
>>
Placing the interest of others ahead of our own
>>
Thirst for knowledge & applied wisdom
>>
Unwavering Integrity
>>
Commitment to continuously improve…everything
Our Core Purpose:
The core purpose of Windsor Assets is to help our clients achieve
their financial goals through a combination of innovative strategies
composed of different perspectives, multiple disciplines, and
varied resources.
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You have to stay the course if you
want to reach your destination.
BUT THERE’S
MORE THAN ONE WAY
TO GET THERE.
We’re known for our unique, balanced approach
to wealth management.
We accomplish this balance in a wide variety of ways, such as using
multiple portfolios, each managed with a unique time-frame and risk
tolerance in mind. We’ve built a reputation based on experienced
decision-making-values to assist our clients with protecting their
existing assets and working towards acheiving their future goals.
Services We Provide
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Investment Management
Education Planning
Business Succession Strategies
Post-Retirement Income Planning
Insurance Planning
Strategies for Minimizing Tax Burdens
Estate Planning
Charitable Giving Strategies
Coordination with Other Professionals, such as CPAs and Attorneys,
to Ensure that Everyone is Working Toward Common Goals
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We’ve partnered with the best...
SO WE CAN
OFFER YOU THE BEST.
As an Independent Broker/Dealer,
WFG Investments, Inc. is not held accountable to a group of
shareholders or a board of directors,
creating a larger variety of choices for
the client than would be available at
traditional wire house firms. Founder,
Wilson Williams, started out in the financial services industry as a
Financial Professional with E.F. Hutton and Co. He was determined
to create an environment for advisors like himself who wanted
independence. Wilson continues to be personally engaged in the
day-to-day management and long-term future of the firm. This
translates into a corporate culture that understands the advisor
and client relationship and always puts the client at the forefront of
everything they do.
WILLIAMS FINANCIAL GROUP (WFG)
Support
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Marketing & Communications
Practice Development
Recruiting
Registered Representative Transitions
Business Processing
Client Services
Compliance
Health Benefits
Information Technology
Products
>> Alternative Investments*
>> Insurance
>> Mutual Funds*
Platforms
Capital Markets*
>> Trading Desk
--Fixed Income
--Institutional Equity
>> Corporate Finance
>> Equity Research
>> Advisory**
>> Retirement
>> WFG Connect:
Business, Compliance &
Communications
* Securities offered through WFG Investments, Inc. Member FINRA & SIPC.
** Investment advisory services offered through WFG Advisors, LP.
For more information, please visit: www.williams-financial.com
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BRINGING THE
RIGHT PEOPLE TOGETHER.
YOU
Windsor Assets
An independent Wealth Management company headquartered in Roseville,
California serving high-net-worth individuals, multi-generational families and
small to medium-sized corporations and foundations. Clients’ assets are
securely held in separate accounts at National Financial Services, Pershing,
or TD Ameritrade with regulatory framework provided by Williams Financial
Group (WFG).
WINDSOR ASSETS
BROKER-DEALER
WFG Investments, Inc.
Founded in 1988, WFG Investments, Inc. is a privately held, Dallas-based
financial services firm providing brokerage, advisory (through WFG Advisory
Services, LP) and investment services to over 280 independent Financial
Professionals with clients (individual investors and select institutions) whose
combined assets under management are approximately $7 billion.
National Financial Services, LLC (NFS) — Fidelity’s Clearing Firm
Offers broker-dealer firms a comprehensive clearing platform that includes a
dedicated service model, a powerful global trading platform, and a source of
leading investment solutions.
WFG INVESTMENTS, INC.
CLEARING FIRMS
NATIONAL FINANCIAL
SERVICES, LLC (NFS)
PERSHING
TD AMERITRADE
REGULATORS
Pershing — A BNY Mellon Company SM
Provides financial services firms with an integrated, multicurrency clearing and
execution solution, plus a full range of global resources.
TD Ameritrade Institutional —
FINRA
SEC
(Financial Industry
Regulatory Authority)
(Securities and
Exchange Commission)
Provides custodial services for more than 4,000 independent registered
investment advisors. With clients placing, on average, approximately 400,000
trades each day, it maintains the leadership position it assumed since it opened
its doors in 1975.
Securities offered through WFG Investments, Inc. Member FINRA & SIPC.
Investment advisory services offered through WFG Advisors, LP.
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Servicing of Your Brokerage Account
ROLES & RESPONSIBILITIES
»» Maintains oversight,
registration, and supervision
of your advisor
YOU
»» Provide open communication
about your financial situation,
needs, and objectives
so that the appropriate
recommendations are made
to you
»» Understand any trade
confirmations, statements,
financial planning or investment
literature, prospectuses, or any
other documents
»» Understand all investments have
some degree of risk
WINDSOR ASSETS
»» Makes financial planning and
investment recommendations
based upon your needs and
objectives
»» Executes transactions in a timely
manner, at the best available
price, with prompt reports to you
WFG INVESTMENTS, INC.
»» Communicates information to
you in a clear and comprehensive
manner
»» Provides your advisor with
and delivery of funds and
securities and execution,
clearance, and settlement of
securities transactions
»» Supports your advisor in
processing transactions and
executing daily operations
TD AMERITRADE
»» Prepares and sends periodic
statements of your account(s)
and transaction confirmations
»» NFS maintains Fidelity Bond
to protect your assets
REGULATORS
regularly
»» Re-balance portfolios as needed
»» Respond to change
»» Communicate regularly
»» Maintains broker-dealer bonds
PERSHING
»» The custody, receipt,
»» Review investments and plan
monitors your account(s)
to protect your assets
access to a broad spectrum
of financial services and
products
NATIONAL FINANCIAL
SERVICES, LLC (NFS)
»» Opens, approves, and
»» Regulates the financial
services industry to
protect you by writing and
enforcing rules and federal
securities laws
»» Performs market regulation
for major US & international
markets
»» Informs and educates the
investing public
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www.windsorassets.com
Securities offered through WFG Investments, Inc. Member FINRA & SIPC.
Investment advisory services offered through WFG Advisors, LP.

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