Ketul Mody
Diamond State Financial Group
900 Prides Crossing
Newark, DE 19713
3024380409
About Diamond State Financial Group
Establishing a relationship with a financial professional is a decision that deserves careful consideration. You can trust that we are committed to helping you accomplish your long-term financial goals.
We genuinely want to see our clients succeed.
See Disclosures
General Information
Firm Start Year
1989
No. of Employees
50-99
CRD#
5478135
Firm CRD#
13572
States Licensed in
DE, PA, MD, NJ
Years of Experience in Financial Services
16
Number of Years with Current Firm
16
Work Experience
I primarily work with professionals, physicians and small business owners to find unique solutions that fit their needs. He specializes in insurance, financial, retirement, and business strategies. Ketul is passionate about creating long-term relationships with his clients and works to build a reputation founded on honesty and integrity.
Work with the following types of clients
Businesses, Individual Investors
Foreign Languages Serviced
Hindi, Gujarati
Advisory Services Provided
Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Money Management, Wealth Management, 401K Rollovers, Retirement Planning, Portfolio Management, Financial Planning, Insurance Products & Annuities, Investment Advice & Management, Financial Advice & Consulting
Compliance
Registered Representative
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Certifications, Accreditations & Designations
CFP®, RICP®
Securities Licenses
Series 6, Series 7, Series 63, Series 65
Insurance and Annuity Licenses
Health, Life, Long Term Care, Variable Life, Annuity
Firm Information
Advisor's Number of Clients
150
Advisor's Number of Managed Clients
75
Advisor's Number of Planning Clients
30
Assets Managed by Advisor
$50,000,000
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$250,000
Compensation Methods
Based on Assets
Fee % Based on Assets
1
Minimum Fee Charged for Managed Accounts
$2,500
Education
Business Administration - Finance
Delaware
9/1/2002 -05/31/2006
Disclosures
RothIRA.org provides referrals to financial professionals. RothIRA.org is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for RothIRA.org to make these referrals, resulting in a conflict of interest.
Additional Detailed Disclosures
https://www.rothira.org/disclosure/1892049/rothira-Diamond-State-Financial-Group-detailed-disclosure.html
Disclaimer
Securities offered through Cetera Advisor Networks LLC (doing insurance business in CA as CFGAN Insurance Agency LLC, CA Insurance Lic# 0644976), member FINRA/SIPC. Advisory Services offered through Cetera Investment Advisers LLC, a registered investment adviser. Cetera is under separate ownership from any other named entity. CA Insurance License # 0L06011.