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• <H2> 
• <H3> 
• <H2> Contact Us
• <H1> Welcome to the McGuire Investment Group, LLC website! Our site is designed and intended to compliment our practice with additional information about us, values and philosophies, services, account access, and periodic comments and articles. As our clients know and trust, our goal is to provide the best investment service possible. Wells Fargo Advisors, our broker-dealer, is one of the nation’s largest retail brokerage businesses, providing us and our clients with the best research, technology, and account services available in the industry. While navigating throughout the site, we hope you find it interesting and useful. We endeavor to provide our clients with the most current and up-to-date information possible in the investment industry. We do not forget the privilege we have to work for you. Thank you for visiting the site, and we hope to speak with you soon!                       Dennis P. McGuire                                    has been awarded                                                              For more information on the rating methodology, go to       http://winnerreprints.fivestarprofessional.com/five-star-award-winner-dennis-p-mcguire-jr-2017/0335487001478891572 The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three customer complaints filed against them [settled or pending] with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their client’s assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. For more information on the Five Star award and the research/selection methodology,go to fivestarprofessional.com. Rhode Island wealth managers were considered for the award; ( percent of candidates) were named 2017 Five Star Wealth Managers.                                             Dennis P. McGuire                                          has been awarded                                                        For more information on the rating methodology, go to http://www.pageturnpro.com/Five-Star-Professional/62885-RIWM15-Dennis-McGuire/puredefault.html?bookurl=62885&bkpageno=1#page/6 Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers.  Once awarded, wealth managers may opt to purchase additional profile ad space or related award promotional products (including this item).  The award methodology does not evaluate the quality of services provided.  The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three customer complaints filed against them [settled or pending] with any regulatory authority or Five Star Professional's consumer complaint process.  Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional's consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Educational and professional designations. 637 Rhode Island wealth managers were considered for the award; 194 (31% of candidates) were named Five Star Wealth Managers.                                                              Dennis P. McGuire                             has been awarded                                                                                           For more information on the rating methodology, go to                    http://www.pageturnpro.com/Five-Star-Professional/62885-RIWM15-Dennis-McGuire/index.html#/6 The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment advisor or a registered investment advisor representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and compliant history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a licensce being suspended or revoked, or payment of a fine; B. Had more than a total of three customer complaints filed against them [settled or pending] with any regulatory authority of Five Star Professional's consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional's consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner's future performance. 677 Rhode Island wealth managers were considered for the award; 199 (30% of candidates) were named Five Star Wealth Managers.   Dennis McGuire Jr. named 2015 Top 50 NextGen IBD Advisor by REP Magazine http://wealthmanagement.com/rankings/top-50-nextgen-ibd-advisors Rankings based on data provided by the Top 35 Independent Broker Dealers based on headcount. Rankings based exclusively on assets under management. Investment performance is not an explicit component.                                                                                                                                          Dennis P. McGuire                         has been awarded                                          For more information on the rating methodology, go to http://www.pageturnpro.com/Five-Star-Professional/55700-2014-RIWM-Dennis-McGuire/index.html#1 The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment advisor or a registered investment advisor representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and compliant history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a licensce being suspended or revoked, or payment of a fine; B. Had more than a total of three customer complaints filed against them [settled or pending] with any regulatory authority of Five Star Professional's consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional's consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner's future performance. 677 Rhode Island wealth managers were considered for the award; 199 (30% of candidates) were named Five Star Wealth Managers.     Dennis McGuire Jr. named 2014 Top 40 Under 40 by REP Magazine http://wealthmanagement.com/ibds/top-ibd-advisors-under-40 Rankings based on data provided by the Top 35 Independent Broker Dealers based on headcount. Rankings based exclusively on assets under management. Investment performance is not an explicit component.                                                                                                                      Dennis P. McGuire                             has been awarded                                            For more information on the rating methodology, go tohttp://www.pageturnpro.com/Five-Star-Professional/46395-2013-RI-WM-Dennis-McGuire/index.html#2 2013 Survey conducted by Five Star Professional, an independent third-party research firm, who received 287 nominations among all wealth managers in the Rhode Island area from peers or firms and evaluated the nominees based on 10 objective criteria including client retention rates, client assets administered, firm review and favorable regulatory and complaint history. 111 were named 2013 Five Star Wealth Managers which represents less than 7% of the total wealth managers in the area. The Five Star award is not indicative of the wealth manager's future performance. For more information: www.fivestarprofessional.com/2012/research.php.              Dennis P. McGuire              has been awarded             2012 Survey conducted by Five Star Professional, an independent third-party research firm, who received 287nominations among all wealth managers in the Rhode Island area from peers or firms and evaluated the nominees based on 10 objective criteria including client retention rates, client assets administered, firm review and favorable regulatory and complaint history. 111 were named 2012 Five Star Wealth Managers which represents less than 3% of the total wealth managers in the area. The Five Star award is not indicative of the wealth manager's future performance.For more information: www.fivestarprofessional.com/2012/research.php                                    Dennis P. McGuire                                      has been awarded     The Survey was conducted by Crescendo, as an independent third-party research firm.  They surveyed approximately 1 in 4 high-net-worth households (over 51,000 households) within the Rhode Island area and asked to evaluate the 2,200 financial services professionals within the Rhode Island area as the best in client satisfaction Wealth managers.  The evaluation was based on nine criteria:  customer service, integrity, knowledge/expertise, communication, value for fee charged, meeting of financial objectives, post-sale service, quality of recommendations and overall satisfaction.  The survey resulted in an elite group of advisors, comprising less than 5% of the wealth managers in Rhode Island.  Only wealth managers with five years of experience in the financial services industry are considered, and have not paid a fee for this award.  The rating may not be representative of any one client’s experience because the rating reflects an average of all, or a sample of all, of the experiences of the financial adviser’s clients.  The rating is not indicative of the financial advisor’s future performance.  Please keep in mind that working with a FIVE STAR Wealth Manager is no guarantee as to the future investment success nor is there any guarantee that the selected Wealth managers will be awarded this accomplishment by Crescendo in the future.       Recommended Investment Reading   Psychology and the Market, David Dreman, 1977.   When To Sell, Justin Mamis and Robert Mamis, 1977.   One Up on Wall Street, Peter Lynch, 1989.   The Next 200 Years, Herman Kahn, 1976.   One-Way Pockets, Don Guyon, 1917.   Extraordinary Popular Delusions and the Madness of Crowds, Charles MacKay, 1841.   Small is Beautiful, Economics as if People Mattered, E. F. Schumacher, 1973.   The Crowd, Gustave Le Bon, 1897   A History of Interest Rates, Sidney Homer, 1977.   Technical Analysis of Stock Trends, Edwards and Magee, 2001   Stock Market Theory and Practice, R.W. Schabacker, 1930.   Security Analysis, Graham and Dodd, 1934.   Portfolio Selection, Harry M. Markowitz, 1991.          
• <H2> Welcome to the McGuire Investment Group, LLC website! Our site is designed and intended to compliment our practice with additional information about us, values and philosophies, services, account access, and periodic comments and articles. As our clients know and trust, our goal is to provide the best investment service possible. Wells Fargo Advisors, our broker-dealer, is one of the nation’s largest retail brokerage businesses, providing us and our clients with the best research, technology, and account services available in the industry. While navigating throughout the site, we hope you find it interesting and useful. We endeavor to provide our clients with the most current and up-to-date information possible in the investment industry. We do not forget the privilege we have to work for you. Thank you for visiting the site, and we hope to speak with you soon!                       Dennis P. McGuire                                    has been awarded                                                              For more information on the rating methodology, go to       http://winnerreprints.fivestarprofessional.com/five-star-award-winner-dennis-p-mcguire-jr-2017/0335487001478891572 The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three customer complaints filed against them [settled or pending] with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their client’s assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. For more information on the Five Star award and the research/selection methodology,go to fivestarprofessional.com. Rhode Island wealth managers were considered for the award; ( percent of candidates) were named 2017 Five Star Wealth Managers.                                             Dennis P. McGuire                                          has been awarded                                                        For more information on the rating methodology, go to http://www.pageturnpro.com/Five-Star-Professional/62885-RIWM15-Dennis-McGuire/puredefault.html?bookurl=62885&bkpageno=1#page/6 Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers.  Once awarded, wealth managers may opt to purchase additional profile ad space or related award promotional products (including this item).  The award methodology does not evaluate the quality of services provided.  The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three customer complaints filed against them [settled or pending] with any regulatory authority or Five Star Professional's consumer complaint process.  Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional's consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Educational and professional designations. 637 Rhode Island wealth managers were considered for the award; 194 (31% of candidates) were named Five Star Wealth Managers.                                                              Dennis P. McGuire                             has been awarded                                                                                           For more information on the rating methodology, go to                    http://www.pageturnpro.com/Five-Star-Professional/62885-RIWM15-Dennis-McGuire/index.html#/6 The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment advisor or a registered investment advisor representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and compliant history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a licensce being suspended or revoked, or payment of a fine; B. Had more than a total of three customer complaints filed against them [settled or pending] with any regulatory authority of Five Star Professional's consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional's consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner's future performance. 677 Rhode Island wealth managers were considered for the award; 199 (30% of candidates) were named Five Star Wealth Managers.   Dennis McGuire Jr. named 2015 Top 50 NextGen IBD Advisor by REP Magazine http://wealthmanagement.com/rankings/top-50-nextgen-ibd-advisors Rankings based on data provided by the Top 35 Independent Broker Dealers based on headcount. Rankings based exclusively on assets under management. Investment performance is not an explicit component.                                                                                                                                          Dennis P. McGuire                         has been awarded                                          For more information on the rating methodology, go to http://www.pageturnpro.com/Five-Star-Professional/55700-2014-RIWM-Dennis-McGuire/index.html#1 The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment advisor or a registered investment advisor representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and compliant history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a licensce being suspended or revoked, or payment of a fine; B. Had more than a total of three customer complaints filed against them [settled or pending] with any regulatory authority of Five Star Professional's consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional's consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner's future performance. 677 Rhode Island wealth managers were considered for the award; 199 (30% of candidates) were named Five Star Wealth Managers.     Dennis McGuire Jr. named 2014 Top 40 Under 40 by REP Magazine http://wealthmanagement.com/ibds/top-ibd-advisors-under-40 Rankings based on data provided by the Top 35 Independent Broker Dealers based on headcount. Rankings based exclusively on assets under management. Investment performance is not an explicit component.                                                                                                                      Dennis P. McGuire                             has been awarded                                            For more information on the rating methodology, go tohttp://www.pageturnpro.com/Five-Star-Professional/46395-2013-RI-WM-Dennis-McGuire/index.html#2 2013 Survey conducted by Five Star Professional, an independent third-party research firm, who received 287 nominations among all wealth managers in the Rhode Island area from peers or firms and evaluated the nominees based on 10 objective criteria including client retention rates, client assets administered, firm review and favorable regulatory and complaint history. 111 were named 2013 Five Star Wealth Managers which represents less than 7% of the total wealth managers in the area. The Five Star award is not indicative of the wealth manager's future performance. For more information: www.fivestarprofessional.com/2012/research.php.              Dennis P. McGuire              has been awarded             2012 Survey conducted by Five Star Professional, an independent third-party research firm, who received 287nominations among all wealth managers in the Rhode Island area from peers or firms and evaluated the nominees based on 10 objective criteria including client retention rates, client assets administered, firm review and favorable regulatory and complaint history. 111 were named 2012 Five Star Wealth Managers which represents less than 3% of the total wealth managers in the area. The Five Star award is not indicative of the wealth manager's future performance.For more information: www.fivestarprofessional.com/2012/research.php                                    Dennis P. McGuire                                      has been awarded     The Survey was conducted by Crescendo, as an independent third-party research firm.  They surveyed approximately 1 in 4 high-net-worth households (over 51,000 households) within the Rhode Island area and asked to evaluate the 2,200 financial services professionals within the Rhode Island area as the best in client satisfaction Wealth managers.  The evaluation was based on nine criteria:  customer service, integrity, knowledge/expertise, communication, value for fee charged, meeting of financial objectives, post-sale service, quality of recommendations and overall satisfaction.  The survey resulted in an elite group of advisors, comprising less than 5% of the wealth managers in Rhode Island.  Only wealth managers with five years of experience in the financial services industry are considered, and have not paid a fee for this award.  The rating may not be representative of any one client’s experience because the rating reflects an average of all, or a sample of all, of the experiences of the financial adviser’s clients.  The rating is not indicative of the financial advisor’s future performance.  Please keep in mind that working with a FIVE STAR Wealth Manager is no guarantee as to the future investment success nor is there any guarantee that the selected Wealth managers will be awarded this accomplishment by Crescendo in the future.       Recommended Investment Reading   Psychology and the Market, David Dreman, 1977.   When To Sell, Justin Mamis and Robert Mamis, 1977.   One Up on Wall Street, Peter Lynch, 1989.   The Next 200 Years, Herman Kahn, 1976.   One-Way Pockets, Don Guyon, 1917.   Extraordinary Popular Delusions and the Madness of Crowds, Charles MacKay, 1841.   Small is Beautiful, Economics as if People Mattered, E. F. Schumacher, 1973.   The Crowd, Gustave Le Bon, 1897   A History of Interest Rates, Sidney Homer, 1977.   Technical Analysis of Stock Trends, Edwards and Magee, 2001   Stock Market Theory and Practice, R.W. Schabacker, 1930.   Security Analysis, Graham and Dodd, 1934.   Portfolio Selection, Harry M. Markowitz, 1991.          
• <H6> The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment advisor or a registered investment advisor representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and compliant history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a licensce being suspended or revoked, or payment of a fine; B. Had more than a total of three customer complaints filed against them [settled or pending] with any regulatory authority of Five Star Professional's consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional's consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner's future performance. 677 Rhode Island wealth managers were considered for the award; 199 (30% of candidates) were named Five Star Wealth Managers.
• <H6> The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment advisor or a registered investment advisor representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and compliant history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a licensce being suspended or revoked, or payment of a fine; B. Had more than a total of three customer complaints filed against them [settled or pending] with any regulatory authority of Five Star Professional's consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional's consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner's future performance. 677 Rhode Island wealth managers were considered for the award; 199 (30% of candidates) were named Five Star Wealth Managers.
• <H6> 2013 Survey conducted by Five Star Professional, an independent third-party research firm, who received 287 nominations among all wealth managers in the Rhode Island area from peers or firms and evaluated the nominees based on 10 objective criteria including client retention rates, client assets administered, firm review and favorable regulatory and complaint history. 111 were named 2013 Five Star Wealth Managers which represents less than 7% of the total wealth managers in the area. The Five Star award is not indicative of the wealth manager's future performance. For more information: www.fivestarprofessional.com/2012/research.php.
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