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Firm Profile for Multi Financial Securities Corporation/Rockdale Assoc.

Multi Financial Securities Corporation/Rockdale Assoc.

Daniel Chen

901 West Park Ave Suite #2-B

Ocean, NJ, 07712

Telephone: [732] 695-2100

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Our Business Philosophy

Assisting clients in understanding where they are today can be critical in setting attainable financial and personal goals for the future. We know your hopes and dreams include sending your children to the right schools, a comfortable retirement, and financial security late in life. We are a "Wealth Managment Practice" implementing Financial Planning strategies in negotiating the financial barriers that invitably arise in every stage of life. Our team has the experience to help you persue these important goals. Ultimately, our greatest impact may be the financial confidence that comes with working with a Financial Advisor that will always put your interest first.

Our Education

Members of our firm hold the following numbers of degrees:

BA/BS/Equivalent: BS

MBA/MS/MA/Equivalent: MBA

Other: CPA

Other: BSE

Other: J.D

Financial Services

Number of Professionals and support staff:

Investment professionals: 3

Other professionals: 2

Support staff: 2

Our professionals currently hold the following active securities licenses:

• Series 7 - Sell any type of security, mutual fund, or variable annuity

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

• Series 24 - Supervisor for Series 6s and 7s

• Series 63 - Sell securities across state lines

• Series 65 - Act as an investment advisor for fees

We provide our CRD or IARD numbers upon request:

• Yes

You can view our compliance record for financial services and products by going to www.finra.org and entering our CRD or IARD numbers. If no record appears, go to our state's securities commissioner website and enter the same number. http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/index.htm

Our firm is a Registered Investment Advisor (RIA)

Members of our firm are acknowledged fiduciaries

Our compliance department requires the following disclosure on this profile:

• Securities and Advisory Services offered through Multi-Financial Securities Corporation, member FINRA, SIPC.

We provide the following types of financial planning services:

• Financial Planning

• Retirement Planning

• College Planning

• Charitable Planning

• Tax Planning

• Investment Strategy

• Current Plan Reviews

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

• Investment Strategy & Policy

• Asset Allocation

• Money Manager Selection

• Active

• Passive

• Risk Management

• Performance Measurement

• Tax Efficient Strategies

• Current Portfolio Reviews

• Relative Return Strategies
Tacticle Strategies
Absolute Return Strategies

We provide discretionary money management services and invest in the following:

• Equity Securities

• Fixed Income

• Securities

• Foreign Securities

• Exchange Traded Funds

• Mutual Funds (Institutional)

• Mutual Funds (Retail)

We provide track record to investors

• The track record is GIPS compliant

• The track record is audited by an independent third party

We market the following types of investment products:

• Mutual funds

• Exchange Traded Funds

• Securities

• Equity Real Estate

Our minimum asset requirement for our investment services is:

• $100,000

Our minimum net worth requirement for our planning services is:

• None

Our primary professional association memberships include:

• FPA

Tax & Accounting Services

All of our CPAs are members in good standing with the American Institute of Certified Public Accountants

We provide services for the following types of clients:

• Individuals & Families

• Businesses

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

• Tax Planning

• Tax Return Preparation

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

• http://www.state.nj.us/lps/ca/nonmed.htm

Insurance Services

Firm professionals and support staff:

Number of insurance professionals: 2

Number of other professionals: 2

Number of support staff: 2

We hold the following active insurance licenses:

• Life

• Annuity

• Long-Term Care

• Disability

You can view our compliance record for insurance services and products by going to our state's Insurance Commissioner website:

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

We market the following types of insurance products:

• Life Insurance

• Annuities

• Long-term care

• Disability income

• Executive

Business Practices

Our method(s) of compensation are:

• Asset-based fee (Percent of assets)

• Fixed fee

• Hourly fee

• Commission (Investment products)

• Commission (Insurance products)

We provide services to remote clients over the telephone and Internet

We provide the following types of information services:

• Monthly reports

• Quarterly reports

• Annual reports

• Market Letters

• All quarterly account statements provided by qualified custodians.
Asset aggregation reports will be provided for all accounts held with Multi-Financial Corp..

We generally respond to client calls or emails:

• The same business day (If call or email is received in the AM)

Certification:

We certify all of the information in our firm profile is accurate, complete, and up-to-date.

Firm: Multi Financial Securities Corporation/Rockdale Assoc.

Most Recent Update: September 30, 2009

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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.