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Professional Profile for Amy Rose Herrick

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Amy Rose Herrick

Topeka, KS, 66605

Telephone: [785] 379-0586

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My Business Philosophy

Our business philosophy began with the wisdom of Aristotle:

"First, have a definite, clear practical ideal; a goal, an objective.

Second, have the necessary means to achieve your ends; wisdom, money, materials, and methods.

Third, adjust all your means to that end."

We believe that after all, it is only money....YOURS!

Each client is unique. Therefore, each set of written recommendations we provide will be one of a kind based solely on their situation, not some broad computer generated model.

We believe financial relationships for the benefit of our clients are meant to be long lasting and not a one time social or sales event.

We believe we impact families positively today and we will positively affect future generations tomorrow with our expertise and planning.

I provide all of the professional services that are listed in my advertisement.

My Education

My degrees or years of college are:

• American College, Chartered Financial Consultant

Financial Services

I have the following years of financial services experience:

• 23

I currently hold the following active securities licenses:

• Series 6 - Sales limited to mutual funds, variable annuities, variable life

• Series 63 - Sell securities across state lines

My CRD or IARD number is:

• 2129556

My financial registration and fiduciary status is:

• I am not a Registered Investment Advisor

• I am an Investment Advisor Representative

• I acknowledge I am a fiduciary when I provide financial advice or services

My compliance department requires the following disclosure:

• Economic Consulting services available in all 50 states. Investment and Insurance Services are available only in the jurisdictions where licensed to do business. Current licensing as of 12/11/2008 held in some form for: Kansas, Arizona, California, Colorado, Florida, Georgia, Indiana, Kentucky, Louisiana, Missouri, Oklahoma, South Dakota, Virginia, Washington & Wisconsin. Additional states will be added as needed.

You can view my compliance record for financial services and products by going to www.finra.org and entering my CRD or IARD number. If no record appears, go to my state's securities commissioner website and enter the same number:

• http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/index.htm

I provide the following planning services:

• Financial Planning

• Retirement Planning

• College Planning

• Charitable Planning

• Tax Planning

• Investment Strategy

• Current Plan Reviews

I provide the following types of non-discretionary investment advice and services:

• Investment Strategy & Policy

• Asset Allocation

• Risk Management

• Performance Measurement

• Tax Efficient Strategies

• Current Portfolio Reviews

I provide the following investment products:

• Mutual funds

• Securities

My minimum asset requirement for investment advisory or money management services is:

• $50,000

My minimum net worth requirement for planning services is:

• $100,000

Tax & Accounting Services

I provide services for the following types of clients:

• Individuals & Families

• Businesses

I provide the following tax and accounting services to individuals and families:

• Tax Planning

• Tax Return Preparation

I provide additional tax and accounting services to individuals and families:

• Tax efficient retirement income distribution planning.

• Income tax reduction suggestions.

• Current and future years income tax projections.

I provide the following tax and accounting services to businesses:

• Tax efficient retirement income distribution planning.

• Income tax reduction suggestions.

You can view my compliance record for tax and accounting services by going to my State Board of Accountancy's website:

• http://www.ksboa.org/

Insurance Services & Products

I hold the following insurance industry certifications or designations:

• ChFC (Chartered Financial Consultant)

I hold the following active insurance licenses:

• Life

• Annuity

• Long-Term Care

• Disability

• Health

My insurance license number for my home state is:

• KS/952234

You can view my compliance record for insurance advice, services and products by going to the National Association of Insurance Commissioners and clicking on my state:

• http://www.naic.org/state_web_map.htm

I market the following types of insurance products:

• Life Insurance

• Annuities

• Long-term care

• Disability income

• Health

• Executive

Business Practices

My methods of compensation are:

• Asset-based fee (Percent of assets)

• Fixed fee

• Hourly fee

• Commission (Investment products)

• Commission (Insurance products)

• Method of compensation will vary by client. Most clients have an investment or insurance portfolio of some kind in existence at our initial meeting. Existing structure will impact most efficient method for the client in the future.

I provide services to remote clients over the telephone and Internet

I provide the following types of information services:

• Online consumer education

• Quarterly reports

• Annual reports

• Newsletters

Certification:

I certify all of the information in this professional profile is complete, accurate, and up-to-date.

Professional: Amy Rose Herrick

Most Recent Update: March 13, 2009

FindFinancialAdvisors.com is a companion service of PaladinRegistry.com. Like Paladin Registry, FindFinancialAdvisors connects investors to financial advisors, financial planners, Stock Brokers, and Insurance Agents.

Financial professionals in our directory provide the following types of services: financial planning, retirement planning, college planning, investment advice, financial services, mutual funds and securities. They also provide life insurance, annuities, tax planning, and tax preparation.