B E E S O N &
C O M P A N Y PERSONAL FINANCIAL ADVISORS
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John K. Beeson, CFP, MBA Tel: 510.232.5339
Registered Investment Advisor Fax: 510.232.5997
2530 Mira Vista Dr.
El Cerrito, CA94530
Privacy Statement
Beeson & Company, an independent financial planning firm, is committed to safeguarding the confidential information of its clients. We hold all personal information provided to our firm in the strictest confidence. These records include all personal information that we collect from you or receive from other firms in connection with any of the financial services provided by Beeson & Company. We also require other firms with whom we deal to restrict the use of your information.
A complete privacy statement concerning our firm’s policy is available upon request. You may obtain it in person, or through a written or electronically delivered request to John K. Beeson, CFP, MBA at or by calling us at 510.655.5339.
John K. Beeson, CFP, MBA
Registered Investment Adviser
Investment Advisory Agreement
The undersigned (the “Client”) retains John K. Beeson (the “Adviser) to provide financial planning advice pursuant to the provisions of this Agreement and the Adviser accepts such engagement by the Client.
1.Adviser is a registered investment adviser, registered with the California Department of Corporations.
2. Based upon information furnished by the Client, the Adviser shall provide personal financial planning consultations, which may include:
- A detailed review of the client’s current financial position taking into account the stated financial goals and objectives of the Client, as requested by the Client.
- An evaluation and analysis of particular financial problem areas and topics that concern the Client. These topics include insurance review, investment advice, general estate planning, tax reduction strategies and college tuition planning.
- Specific recommendations that the Client purchase specific securities or take action with respect to estate planning or tax reduction.
3. The Client will furnish the Adviser with any necessary data and such supporting documents as the Adviser may reasonably request, including financial information, investment experience and investment goals. The Client understands that the Adviser will provide services under this Agreement based upon information supplied to the Adviser by the Client concerning the Client’s financial circumstances and objectives. The Client represents and warrants that such information is and will at all times be substantially accurate and complete. The Client shall promptly inform the Adviser of any material change in the Client’s financial circumstance or objectives and shall respond promptly to reasonable requests by the Adviser for information on any such changes.
4. The Adviser does not engage in the sale or offering for sale of securities or other financial products. The Adviser will not exercise any discretionary authority over any securities account of the Client. The Adviser is not a broker/dealer or a bank. As such, the Adviser does not undertake any obligation for the implementation of the financial planning recommendations made by the Adviser. The Client is under no obligation to place any investment, insurance or other transaction with any specific provider. It is the Client’s responsibility to consult with his or her own legal and tax counsel where such consultation is indicated. The Adviser will not monitor the performance of any investment made by the Client.
5. The Adviser will hold all information provided by the Client in confidence and will not voluntarily disclose information or any plan recommendations based on this information without the consent of the Client.
6. The Client shall compensate the Adviser for all services furnished under this Agreement by payment of fees in accordance with the provisions of the section:
- The hourly rate is $250. Client will be charged only for the time involved in counseling and analysis. Payments are due and payable upon receipt. Interest, payable at the maximum rate allowed by law, will be charged on balances not paid within (30) days. In the event the Client fails to comply with the terms of the payment, the Adviser may, at his discretion and with prior written notice to the Client, discontinue service under this Agreement until the Client’s account is current.
- Fees charged by the Adviser are for financial planning services only and do not include any legal, accounting or other professional services, which may be required by the Client in the course of implementing the recommendations made by the Adviser.
- The Adviser will not be responsible for the acts of omissions or insolvency of any agents, broker or independent contractor selected to take any action or to negotiate or consummate any transaction for the Client’s account.
7.Any dispute between Client and Adviser shall be resolved in an arbitration conducted pursuant to the rules of the American Arbitration Association. Any arbitration hearing shall be held in Santa Rosa, CA.
8.Client acknowledges receipt of Part II of Adviser’s Form ADV.
9. Miscellaneous Provisions
- The Laws of the State of California shall govern this Agreement.
- This Agreement may be terminated by either party with a 30-day written notice. At that time, a summary of hours accrued, year-to-date, will be provided to the Client. All charges in excess of the payments paid to date with regard to this Agreement will be the responsibility of the Client.
- This Agreement shall inure to the benefit of any successor of the Adviser and shall be binding upon the successors and assigns of the Client.
- This Agreement shall not become effective until acceptance by the Adviser, to be evidenced by the signature of an authorized representative entered in the place provided below. No modification amendment to this Agreement shall be effective unless made in writing and signed by the Client and by an authorized representative of the Adviser.
- No assignment of this contract shall be made by the Adviser without written consent of the Client.
Client
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Adviser
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John K. Beeson, CFP, MBA
Beeson & Co. Client Data Sheet
CONFIDENTIAL INFORMATION
PLEASE PRINT
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Client Name:______Birthdate:_____/____/______
Address Client as:S.S.#:______-_____-______
Mr./Mrs./Ms./Dr.:______Email: ______
Spouse Name:______Birthdate:_____/____/______
Address Spouse as: S.S.#:______-_____-______
Mr./Mrs./Ms./Dr.:______Email:______
Home Address:______Home Phone: (_____) ______-______
______
City: ______FAX: (_____) ______-______
State:______
Zip: ______Car Phone: (_____) ______-______
______
Client Employer:______Work Phone: (____) _____-______
Position/Title:______Extension: ______
Work Address:______
City:______FAX: (____) _____-______
State:______Zip:______
Spouse Employer:______Work Phone: (____) _____-______
Position/Title:______Extension: ______
Work Address:______
City:______FAX: (____) _____-______
State:______Zip:______
Mailing Address to Send All Documents and Correspondence:
Mr Mrs./Ms./Dr.: ______
Address:______
City/State/Zip: ______
Acct Exec:______Phone: (_____) ______-______
Address:______Fax: (_____) ______-______
Attorney:______Phone: (_____) ______-______
Address:______Fax: (_____) ______
CPA:______Phone: (_____) ______-______
Address:______Fax: (_____) ______-______
Ins Broker:______Phone: (_____) ______-______
Address:______Fax: (_____) ______-______
Notes:______
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Beeson & Co. Balance Sheet
CONFIDENTIAL INFORMATION
1. Assets (current value)Client Name:
A. Cash/cash equivalents
1 Checking/cash$______
2 Savings$______
3 Money Market$______
Total Cash Equivalents $______
B. Investments
1 Certificates of deposit $______
2 Treasury Bills$______
3 Taxable bonds$______
4 Municipal bonds$______
5 Municipal bond funds$______
6 2nd Mortgages/Notes$______
7 Stocks$______
8 Stock Funds$______
9 Rental real estate$______
10 Collectibles$______
11 Business$______
12 Other$______
Total investment assets $______
C. Retirement Plans
1 IRA’s$______
2 Keogh/IRA SEP$______
3 401(k)/403(b)$______
4 Profit Sharing$______
5 Other$______
Total retirement plan assets $______
Balance Sheet (con’t)
D. Personal use assets
1Personal residence$______
2 Other real estate$______
3Household contents$______
4Automobiles$______
5Other$______
Total personal use assets $______
TOTAL ASSETS $______
2. LIABILITIES (outstanding balances)
A. Mortgages
1Mortgages-personal residence$______
2Home equity loan$______
3Mortgage-2nd home$______
4 Mortgage-other real estate$______
5Other$______
Total mortgages $______
B. Other Loans
1Auto $______
2Education$______
3Life insurance$______
4Credit cards$______
5Personal loans$______
6Other$______
Total other loans $______
TOTAL LIABILITIES $______
3. NET WORTH (assets - liabilities) $______