Derek became an Investment Advisor in 1985 following his graduation from Carleton University with a B.A. in Economics. He holds designations as a Fellow of the Canadian Securities Institute (F.C.S.I.), a Certified Financial Planner (CFP) and a Certified Investment Manager. His book, entitled "RRSP and Mutual Fund Basics" came out in 1998. This book is written using a question and answer format and is designed to educate the average investor. All of the proceeds were donated to charity. To date, the editions of the book have raised over $30,000 for The Children's Hospital of Eastern Ontario, and the Ottawa Heart Institute. Over the past twenty years, Derek has specialized in servicing the financial needs of individuals who have retired or are approaching retirement. Derek and his wife Carole have three daughters Courtney, Bailey and Chloe. Phone: 613-562-6493 Derek.King@NBPCD.com
Nicholas has been in the financial services industry since 1998. He has a B.A. in Economics from Carleton University and has his Insurance and Options licenses. Nicholas also co-authored "RRSP and Mutual Fund Basics" with Derek. Phone: 613-562-6473 Nicholas.Firman@NBPCD.com
8 GREAT REASONS TO INVEST WITH THE KING INVESTMENT TEAM
DEALING WITH THE KING INVESTMENT TEAM MEANS YOU HAVE A GROUP OF PROFESSIONALS COMMITTED TO CLIENT SERVICE EXCELLENCE Our purpose is to provide financial planning advice in a clear, well thought out manner. Any questions or concerns regarding your account or your monthly statement are handled by Investment Representatives Laura Lee or Jackie. Derek and Nick have over 30 years of experience in the financial services industry.
DEVELOP A PLAN. Our relationship with a client starts with a comprehensive questionnaire which will develop a financial plan to achieve their long-term financial goals. As part of this plan, we cover the investment, risk tolerance, time horizon and taxation aspects of each client's situation.
IMPROVE YOUR PERFORMANCE. Studies have proven that investors who use Investment Advisors enjoy better performance on their investments. (Dalbar U.S. Study, Sept 1998)
TOP-NOTCH ADVICE BMO Nesbitt Burns Equity Research has been ranked #1 in Canada 25 years running.* This powerful resource provides the King Investment Team with the necessary information to recommend investments and give financial planning advice to our clients.
REGULAR COMMUNICATION & PERFORMANCE REPORTING All clients receive regular account reviews and telephone calls to talk about any questions or current issues related to their accounts. In addition, we offer educational conference calls to discuss investment issues featuring knowledgeable guest speakers. Statement information is presented as clearly as possible and reviewed with all new clients, to minimize confusion or misunderstanding about how to read results.
ONGOING MONITORING Each client's account is monitored on an ongoing basis to take advantage of opportunities created by changing circumstances. In addition, each plan is reviewed annually and appropriate adjustments made after discussions with clients. When it makes sense, these adjustments are tied in with a face-to-face meeting to talk about the client's portfolio.
YOUR ASSETS ARE SECURE AT BMO Nesbitt Burns Inc. Client accounts are insured up to $1 million.
INVESTMENT PHILOSOPHY Our investment philosophy is essentially conservative in nature. Operating within each client's risk profile, an investment approach is structured using state-of-the-art research and portfolio design to achieve the unique financial goals of each of our clients. As a result, both we and our clients sleep soundly at night.
OUR CORE INVESTMENT PHILOSOPHIES
Invest in quality.
Time in the market is more important than market timing.
Always invest with tax consequences in mind.
Don't use a short time frame to define success or failure. Investing is a marathon, not a 100 yard dash.
Keep your emotions in check before making investment decisions.
Periods of difficulty, negativity and confusion usually represent excellent long-term buying opportunities.
Use a professional Investment Advisor who puts you first and to whom you can relate. This is your most important investment decision.
WHAT YOU RECEIVE AS A CLIENT OF THE KING INVESTMENT TEAM CLIENT SERVICE
Personalized reviews of your portfolio with Derek or Nick.
Easy-to-read statements
Ongoing telephone reviews with Derek or Nick
A team approach to managing your financial affairs
Annual/semi-annual financial check-ups
Educational seminars
Internet access: view your accounts online, access our Research Department
OUR PHILOSOPHY The first step towards achieving our clients’ financial goals is developing a plan which takes their individual needs into consideration. This involves asking questions like:
What are your investment goals?
What is your investment time horizon?
What is your risk tolerance?
What are your current and future tax considerations?
Once we have helped them answer these and other questions, we can discuss the range of investments and services available to help them meet their investment goals.
Our team provides clients with specialized advice as well as service. In addition to investment strategy, a team focus can provide clients with the absolute highest level of service. Our team concentrates on the financial and investment needs of our clients by developing strategies to manage their personal finances. We stress a long-term approach to investing and emphasize financial planning to help our clients determine their financial needs and risk tolerance. Portfolio performance and client satisfaction are our primary business objectives.
SERVICE EXCELLENCE The King Investment Team is committed to building a solid, lasting relationship with their clients. Employing Nesbitt Burns’ state-of-the-art client information system, Derek and Nick provide timely and accurate recommendations and advice. Keeping clients informed is a top priority. This means providing access to a wealth of educational materials, promptly returning phone calls, and quickly following up on administrative issues. It also involves monitoring accounts on an ongoing basis to take advantage of arising opportunities and changing market conditions. Goals, strategy, and portfolio performance are regularly reviewed with clients.
DIVERSIFIED INVESTMENTS Drawing on the expertise of BMO Nesbitt Burns’ top-ranked Research Department, The King Investment Team will design a well-diversified portfolio that meets each client’s needs. Ranging from Managed Assets to investing for growth or income, we are able to tailor a portfolio to meet your needs.
An Investment Program to Suit Your Needs Managed Portfolio Account: The Managed Portfolio Account provides the highest degree of service in discretionary money management. Highlights:
A written Investment Policy Statement
Portfolios customized to suit your needs for income and growth, and to reflect your tax situation
Portfolios consist of top ranked mutual funds or individual securities
No front-end loads, deferred sales charges or commissions
BMO Nesbitt Burns Quadrant™Program Based on the principal of protecting and enhancing wealth, the Quadrant Program constructs a portfolio that consists of a range of specialized mutual funds – each of which combines the talents of some of the leading investment managers in the world. Research has proven that this approach provides the optimal combination of risk control and return enhancement. Quadrant is available to investors with a minimum account size of $50,000.
BMO Nesbitt Burns Advance® Program The Advance Program combines BMO Nesbitt Burns’ exceptional services with those of leading independent Investment Managers – managers who are generally beyond the reach of individual investors, offering their services only to pension funds and other very large accounts. All portfolios in the Advance Program are individually managed and are customized to take into account your individual circumstances and tax issues. Available to investors with a minimum account size of $150,000, Advance will appeal to the discriminating investor concerned about flexibility, comprehensive reporting, and performance.
BMO Nesbitt Burns BluePrint® Program The BluePrint Program combines the research and portfolio management expertise of BMO Nesbitt Burns. This allows clients to take full advantage of Canada's top research department through North American Equity and Fixed Income portfolios that are tailored to their specific needs.
Retirement Planning While no one can predict the future, our sophisticated planning software can help to make it clearer, allowing you to evaluate the impact of inflation and taxes on your retirement income, or how much money you will need to save to reach your retirement goals. Most importantly you will have information necessary today to allow you to chart your course to financial success.
Investing for Growth Convertible bonds and convertible preferreds Canadian and international equities Mutual funds New issues
Investing for Income Treasury bills and money market securities Canada and Provincial savings bonds Guaranteed Investment Certificates Government and Corporate bonds, coupons Preferred shares
To apply for a complimentary consultation or for more information on any of our services, give Derek ( 613-562-6493) or Nick (562-6473) a call today. ESTATE PLANNING Years of helping clients achieve their long-term investment goals has taught us that investment objectives can be unique to their individual circumstances. For this reason, retirement and Estate Planning itself must be a very personal process. It starts with the individual, not products or packaged solutions. Whether planning for retirement or protecting their estate assets, clients want the assurance of independence on the part of their Advisors. We bring to the planning process this certainty of independence. It enables us to focus on resources and goals from our clients’ perspective. In the end, this provides superior results.
NEWSLETTERS As Investment Advisors, one of our primary responsibilities is to provide our clients with ongoing, up to date information on economic and market events, as well as recommendations for compelling investment opportunities. Knowing the overwhelming volume and complexity of much of the financial material available today, it is important that the information we offer you is presented in a concise and understandable format. We are able to do so through various sources from BMO Nesbitt Burns:
Access (Quarterly Newsletter)
Investment Research through the Internet
Weekly emails which include articles of interest and relevant investment ideas
The breadth of information covered in these publications is extensive and the corresponding financial analysis is of the highest quality. Included in these newsletters are current market overviews and strategic commentary provided by our top BMO Nesbitt Burns analysts as well as specialist equity analysts in the US. Additional regular features include U.S. market analysis, and features on leading North American investment picks.
SEMINARS Regular educational seminars are held for private individuals, corporate clients, and related professionals on the following topics:
Portfolio management
Estate Planning
ACCOUNTS ONLINE: GATEWAY® All of our clients can access their accounts through the internet. Through Gateway, our clients can view their account holdings, generate stock quotes, and review the latest in market news, as well as the full complement of BMO Nesbitt Burns top-ranked research - they can even create and track a mock portfolio of stocks that they have chosen.
ABOUT BMO NESBITT BURNS BMO Nesbitt Burns, the full service investment arm of Bank of Montreal, is one of Canada’s largest investment firms. Employing over 3500 dedicated professionals, we serve the investment needs of individuals, corporations, and governments from an extensive network of Canadian and international offices. Excellence is the lifeblood of successful investing. Since 1980, we have been home to the #1 independently ranked investment research team in Canada.* Helping our clients with knowledgeable financial advice for over 80 years, we have established a reputation for excellence and commitment to building and preserving wealth for generations of clients.
™ The Nesbitt Burns Quadrant program is a trade-mark of The Nesbitt Burns Corporation Limited. ® The Nesbitt Burns Advance Program and Nesbitt Burns Pathfinder are registered trade-marks of the Nesbitt Burns Corporation Limited.
1Brendan Wood International Survey. Institutional Equity Research, Sales and Trading Performance in Canada, 2008 Report.
2All insurance products and advice are offered through BMO Nesbitt Burns Financial Services Inc. by licensed life insurance agents, and, in Quebec, by financial security advisors.
All market data is delayed by at least 20 minutes unless otherwise noted. Quotes, historical data, charts and statistics are provided by SunGard PowerData. BMO Nesbitt Burns is not responsible for the information provided.
** Mutual fund prices are as per previous day's close. Unlike stock prices they are not updated throughout the day.
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