Financial Positioning System, Inc
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Financial Positioning System, Inc provides investment advisory and financial planning services to individual clients, with a primary focus on portfolio management and ongoing reviews. Like many independent advisers, the firm commonly charges fees based on assets under management while delivering personalized planning services.
The firm’s investment adviser representative has technical and financial credentials — including engineering and nuclear engineering degrees and an MBA — and prior experience at broker-dealers and other financial firms, which the brochure cites as part of its professional background. The firm reports that its principal oversees firm activities and follows written policies and procedures, including a code of ethics and regulatory compliance processes.
The brochure discloses a few features that are uncommon among peers: the firm may offer subscription-fee arrangements in addition to AUM-based billing and publishes periodicals or newsletters for clients. It also notes that a licensed insurance agent associated with the firm may offer commissionable insurance products, a potential conflict of interest that is disclosed to clients, and the firm manages a relatively small client roster and asset base compared with larger advisers.
Client services
Fee options
Commissions from insurance products offered by the representative as a licensed insurance agent
Main office
16001 New Bedford Drive
Derwood MD 20855
Advisors at this office
1
Most active in
Maryland
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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