Additional information about Christopher Wootton is available on the SEC s Web site at

Transcription

1 Christopher Wootton ChFC CRD # Common Wealth Centre 2040 North Loop 336W, Suite 125 Conroe, TX This Brochure Supplement provides information about Christopher Wootton that supplements the Brochure. You should have received a copy of that Brochure. Please contact if you did not receive the Firm s Brochure or if you have any questions about the contents of this supplement. Additional information about Christopher Wootton is available on the SEC s Web site at Christopher Wootton was born in He holds a BS in Accounting from the University of Houston in Clear Lake, Texas and achieved the Chartered Financial Consultant (ChFC) in May Christopher Wootton s business experience is as follows: Owner/President December 2016 Present Independent Contractor September 2007 November 2016 Wootton Financial Group, Inc. Owner/President December Present Wootton Associates Officer August 2002 December 2016 to your evaluation of each supervised person providing investment advice. No information is applicable to this Item for Mr. Wootton or Christopher Wootton is currently an Officer with Wootton Financial Group, Inc., a non-investment related marketing and insurances sales/service/planning business. He devotes approximately twenty hours per month to this business, some of which is during trading hours. ITEM 5 - ADDITIONAL COMPENSATION Christopher Wootton does not receive any additional compensation related to the provision of investment advisory services. Christopher Wootton, as President of the Firm, is responsible for the supervision of his activities as well as those of all other investment advisory representatives of the Firm. He may be reached at (936) ADV 2B

2 PROFESSIONAL DESIGNATIONS The Chartered Financial Consultant (ChFC ) designation is the end certification of the Chartered Financial Consultant program, comprised of nine or more college-level courses on all aspects of financial planning. It is offered by The American College, a nonprofit educator with the highest level of academic accreditation. Program Learning Objectives Upon completion of this program, the student should be able to: 1. Function as an ethical, competent and articulate practitioner in the field of financial planning 2. Demonstrate mastery of the core financial planning knowledge required of a Certified Financial Planner by passing the CFP certification exam 3. Utilize the intellectual tools and framework needed to maintain relevant and current financial planning knowledge and strategies throughout one s career in financial services 4. Apply financial planning theory and techniques through the development of case studies and solutions 5. Apply in-depth knowledge in a holistic manner from a variety of disciplines; namely, estate planning, retirement planning or nonqualified deferred compensation. The average study time for the program is over 400 hours and advisors frequently spend years earning this coveted distinction. Each ChFC must also complete a minimum of 30 hours of continuing education every two years, adhere to strict ethical standards, and meet extensive experience requirements to ensure the holder of the ChFC will provide professional financial advice to their clients. ADV 2B

3 David Covey CRD # Common Wealth Centre 2040 North Loop 336W, Suite 125 Conroe, TX This Brochure Supplement provides information about David Covey that supplements the Brochure. You should have received a copy of that Brochure. Please contact if you did not receive the Firm s Brochure or if you have any questions about the contents of this supplement. Additional information about David Covey is available on the SEC s Web site at David Covey was born in He holds a BBA from Southwest Texas State University in San Marcos, Texas and attended Southwestern Graduate School of Banking at SMU. David Covey s business experience is as follows: Investment Advisor October 2013 Present Edward Jones Investment Representative September 2005 April 2013 to your evaluation of each supervised person providing investment advice. No information is applicable to this Item for Mr. David Covey or David Covey currently has no other investment-related activities. ITEM 5 - ADDITIONAL COMPENSATION David Covey does not receive any additional compensation related to the provision of investment advisory services. David Covey is directly supervised by Christopher Wootton, President of the Firm. He may be reached at. ADV 2B

4 Dudley Lehmer CRD # N. Loop 336 W., Suite 125 Conroe, Texas This Brochure Supplement provides information about Dudley Lehmer that supplements the Brochure. You should have received a copy of that Brochure. Please contact if you did not receive the Firm s Brochure or if you have any questions about the contents of this supplement. Additional information about Mr. Lehmer is available on the SEC s Web site at Dudley Lehmer was born in He holds a BS in Chemical Engineering from the University of Missouri in Columbia, Missouri and a MBA from Harvard Business School in Boston, Massachusetts. Mr. Lehmer s business experience is as follows: Investment Advisory Representative July 2015 Present Eagle Mountain Advisors LLC President and CCO June 2008 Present CCDL Management, LLC Managing Member November 2007 May 2008 Total Seminars, LLC CEO/Owner February 1995 Present J.P. Morgan Securities, Inc. V.P. Fixed Income Trading May 1987 June 1995 to your evaluation of each supervised person providing investment advice. No information is applicable to this Item for Mr. Lehmer or Mr. Lehmer is affiliated with Wootton Financial Group, Inc., a non-investment related insurances sales/service/planning business through which he provides insurance products to clients. He devotes approximately ten hours per month to this business, some of which is during trading hours. Mr. Lehmer is affiliated with and an owner of Eagle Mountain Advisors, LLC. He devotes less than ten hours each week to this role and is compensated through fees earned and his ownership interest. This relationship creates a conflict of interest in that Mr. Lehmer, due to his ownership interest, has an economic incentive to recommend that clients utilize Eagle Mountain. The Firm mitigates this conflict by ensuring that Game Plan clients and prospects are never referred to Eagle Mountain and Game Plan discloses the relationship and potential conflict between the two firms. Mr. Lehmer is the Owner of Total Seminars, LLC a non-investment related business providing computer repair training services. Mr. Lehmer spends approximately 80 hours per month on this business with one to two hours per day during trading hours. ADV 2B

5 ITEM 5 - ADDITIONAL COMPENSATION Mr. Lehmer does not receive any additional compensation related to the provision of investment advisory services. Mr. Lehmer is directly supervised by Christopher Wootton, President of the Firm. He may be reached at ADV 2B