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Active investment management’s weekly magazine for fee-based advisors

Mark Thompson • Madison, WI
Transamerica Financial Advisors, Inc. (TFA) • Transamerica Financial Group Division

v11-i10-Advisor-350px-1My clients span many demographics: different ages, occupations, and asset levels. I enjoy having a mix of clients and addressing the various types of needs that come up in our planning discussions.

One client segment I work with has presented a niche opportunity that has been rewarding for both the clients involved and our practice. I work with a company that offers its employees an attractive employee stock option plan. While I work with all levels of employees in the company, a good number are blue-collar workers who have put in many years with the company. The assets they have accumulated over the years can be quite significant.

This becomes an interesting planning situation as these individuals consider retirement. While they may have decent salaries, few have ever thought of themselves as wealthy. Given the stock they have accumulated, they may now have the ability to retire much earlier than they ever considered possible. Some people are interested in starting a second career or running their own business. Some want to relocate or buy a vacation home. Just about all of them need education and guidance on tax implications and legacy planning, areas they may never have been concerned with before. If the need arises, we can help identify appropriate third-party resources for tax and legal counsel.

These workers represent a target market that is receptive to hearing about our practice’s message about financial and investment strategies. They are interested in our risk-management approach and separately managed accounts, wanting to protect and grow their assets.

The word-of-mouth referrals we receive within the company are very gratifying. When I meet with an individual who has been referred, I will present the capabilities of our firm, describe the way we work with clients, and point out the benefits of a disciplined financial strategy. This usually leads to establishing a new client relationship. I feel privileged to have this opportunity, and I look forward to working with and guiding this company’s employees for many years to come.

Disclosure: Mark Thompson is a Registered Representative and an Investment Advisor Representative with Transamerica Financial Advisors, Inc. (TFA). Securities and Investment Advisory Services offered through TFA, Transamerica Financial Group Division, member FINRA, SIPC, and a Registered Investment Advisor. Non-securities products and services are not offered through TFA. TFG009430-08/16

Photography by Nick Berard

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