Choosing a financial planner can be a major life decision that can influence your financial future for better or worse. You should be confident your financial planner has the education, experience, and values to best serve your needs. Professional certification shows that a financial planner has voluntarily undergone a rigorous process that includes education, examination, experience, and ethical requirements – and maintains them on an ongoing basis.
With more than 30 years of experience, Sam Gott has both the credentials and experience to best serve you individually, if you’re the owner of a business, or both.
“It is my mission to apply my expertise in planning and investment management to every client’s financial situation. I strive to provide the highest quality investment advice to individuals and businesses with an emphasis on building a comprehensive financial plan.”
Licensure:
June 02 – Present: Sam Gott, Certified Financial Planner
Financial planning for individuals and business owners. Implement risk management and investment vehicles, fee-based financial planning, retirement, and estate planning. Design, implement, and service employee benefit programs including qualified retirement plans, group health, life, and disability insurance. Financial services operations consultant to Credit Unions.
Jan. 99 – June 02: Harborstone Investment Services
Senior Vice President & General Manager
Managed a needs-based financial planning and investment company for Harborstone Credit Union, the third largest credit union in the state of Washington, including:
Responsible for: goal-setting, product selection, revenue, profitability, expenses, and supervision of personnel.
Office of Supervisor Jurisdiction (OSJ) Supervisor - Experienced in Broker-dealer branch office operations and FINRA compliance management, including suitability review, approving trades, accepting new accounts, security, advertising, books and records requirements.
Investment Advisor Compliance Specialist - Responsible for all functional aspects of investment advisor operations, including development, writing and updating Forms ADV, compliance manuals, supervisory policies and procedures, annual registrations and renewals on the CRD/IARD system.
1989 – Jan. 99: Sam Gott , Certified Financial Planner
Financial planning for individuals and business owners. Implemented risk management and investment vehicles, fee-based financial planning, retirement, and estate planning. Designed, implemented and serviced employee benefit programs including qualified retirement plans, group health, life, and disability insurance.
1983 – 1989: Alexander & Alexander
Senior Vice President, Executive Planning Services
Executive Planning Services Department (an independent profit center), El Paso, TX; San Antonio, TX; Shreveport, LA; Monroe, LA and New Orleans, LA. Managed financial planning, investments, employee benefit planning, and sales/service of insurance products.
1981 – 1983: USAA Life Insurance Company
Manager, Estate Planning & Qualified Plans Department
Streamlined advanced marketing and tax-qualified retirement plans department to focus on marketing efforts, which resulted in increased profits. Designed and developed material for sales and service. Trained sales and service staff.
1970 – 1981: Prudential Insurance Company
Sales Representative and Sales Manager
Received Prudential top sales agent citation. Managed the Corpus Christi, Texas office for four years. Hired and trained sales representatives for 20% of Texas.
Sam Gott, Registered Investment Advisor
4 Dominion Drive
Building 3, Suite 250
San Antonio, Texas 78257
Ph. 210-849-7772
Fax 210-881-6832
sam@sgria.com **
www.sgria.com
** We do not buy or sell securities by email; purchasing or selling of securities must be done by telephone, with verification, or in person.
Securities offered through Dominion Investor Services, Inc. Member FINRA/SIPC
Certified Financial Planner Board of Standards, Inc. owns the certification marks CFP(R), CERTIFIED FINANCIAL PLANNER(tm) and federally registered CFP (with flame logo) in the U.S., which it awards to individuals who successfully complete CFP Board's initial and ongoing certification requirements.
Design by Lynn-Douglas Media
4 Dominion Drive
Building 3, Suite 250
San Antonio, TX 78257
sam@sgria.com
Ph. (210) 849–7772 • Fax (210) 881-6832