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. 2 | 14 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. >> >> YOUR privacy is paramount. We hold in strictest confidence all business and personal information pertaining to our clients’ affairs. 4 | 14 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. 6 | 14 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 >> >> >> >> >> >> >> >> >> 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 8 | 14 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 >> >> >> >> >> >> >> >> >> 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 10 | 14 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. 12 | 14 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 14 | 14 www.windsorassets.com Securities offered through WFG Investments, Inc. Member FINRA & SIPC. Investment advisory services offered through WFG Advisors, LP.
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