When Apex Securities & Asset Management was founded in 2009 with my business partner Treva Black, we wanted to establish a professional first class investment practice that was not only in Brentwood but part of Brentwood.  Celebrating 33 years in the investment industry and currently managing more than $250 million (as of 12/31/21) for individuals, families and small businesses.  One of the greatest rewards of this business is being able to positively impact the lives of my clients at whatever point in their life that they may be whether it’s a parent or grandparent setting up college funding account or someone beginning their journey toward retirement.  I particularly enjoy helping clients build, maintain and thrive off of their retirement accounts.  If there is an attribute that I a most proud of it’s the ability to break down a complex issue and making it simple and understandable for my clients.

After graduating from the University of the Pacific with a Bachelor degree in 1988, I began my career as a Financial Advisor as part of Paine Webber Group (now UBS) and in 1993 continued my financial services career with Dean Witter Reynolds (now Morgan Stanley).  In 2009 Apex Securities & Asset Management, LLC was formed and the rest is history.

I have always agreed with the adage that “…to whom much is given, much is expected” and I have been very blessed to be able to work in Brentwood.  I am an active member of the Brentwood Rotary Club for 29 years, have served as their club President and was honored as Rotarian of the year in 1998.  I'm extremely supportive of youth sports having coached CYO Basketball, EDYSL Soccer, PONY Baseball and Liberty High School freshman football.  I’ve served on the board of St. Francis and Holy Rosary schools.  I support local agriculture and currently a board member of the Contra Costa County Farm Bureau.

Having a lifelong service to others modeled to me at an early age I and my wife, Veronica have instilled these values to our three kids who have been regulars at the annual Community Food Basket event held in December each year assisting the Rotary Club with their pancake breakfast.

I am proud of the support that Apex Securities has given to the “Some Gave All Foundation”, Patriot Flyers, the Village Resource Center, “One Day at a Time” as well as numerous Chamber of Commerce sponsored events.

My greatest joy is spending time with my wife, Veronica and our three children.

I welcome those who may want an unbiased review of their current portfolios or perhaps just want to move their investments a little closer to home.  I look forward to speaking with you.

CA Insurance Lic. #0A67683.  California resident.

For over 35 years I have been committed to providing my clients the highest level of professionalism and personal service.

The ability to positively impact lives has always been one of my life goals.  As a CERTIFIED FINANCIAL PLANNER™ professional, I strive to serve my clients in an unbiased fashion providing both experienced guidance and excellent service. 

I have a process which I refer to as the LifeSync℠ experience. LifeSync is our ongoing advice and planning experience that brings together what our clients want in “life” with the ability to “sync” with their values and aspirations. It creates a personal path for each individual, helping them make more informed and intentional financial decisions. The process is consistent, but the experience is unique to each person. There are five stages in the LifeSync experience to help answer questions most important to each client. The five steps are:  1. Understanding. 2. Planning. 3. Proposal Creation.4. Implementation. 5. Revisit.

LifeSync is the combination of our people + content + tools, + solutions and strategies that equate to the collective client experience. I am dedicated to providing comprehensive financial and investment strategies to individuals and couples who are preparing for a major life transition such as retirement, divorce, inheritance, or the sale of a business. I also have a particular focus on working with divorcees and widows.

Individuals who are in the middle of a transition often need specialized financial and investment advice, but many of them may not know where to go.

My particular focus is on retirement planning, retirement income planning, and helping clients with healthcare, social security, long-term care, estate-planning strategies, as well as helping them create life-long cash flow strategies.

With access to the vast resources and technology of Wells Fargo Advisors and Wells Fargo Advisors Financial Network, I will help you visualize your life dreams and create strategies to incorporate them into your long-term life and retirement plans.

I earned a bachelor’s degree in business administration from California Lutheran University. I am a CERTIFIED FINANCIAL PLANNER™ professional (CFP®), Certified Investment Management Analyst (CIMA®) and Certified Investment Management Consultant (CIMC®). In 2016 I completed an educational course in Behavioral Financial Advice. I also hold the Series 7 securities registration, as well as applicable insurance licenses.

Why work with a Certified Investment Management Analyst©? Certified Investment Management Analysts® (CIMA®) are dedicated to elevating their practice through education, experience, examination and the highest standards of ethics. CIMA® professionals have the advanced investment management knowledge necessary to truly fully serve affluent clients, and they use that in-depth knowledge to analyze and hand-select the investment products that make the most sense for your circumstances. 

Earning a CIMA® designation requires three years of broad experience in investment management consulting and completion of the demanding educational program put forth by the CIMA® board. To maintain this designation, CIMA® professionals are required to adhere to a rigorous code of professional responsibility and complete 40 hours of continuing education every two years.

Born and raised in Santa Rosa, I have lived in Northern California for most of his life. I and my wife, Alison, have two daughters, Rachel and Erin. In my spare time, I engage in various activities, including racquetball and golf. I also enjoy photography, reading, and traveling.

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CA Insurance Lic. #0A47105; California resident

Pat has more than three decades of providing excellent customer service. Prior to joining Apex Securities & Asset Management she worked for Morgan Stanley.  She holds her Series 7, 63 and 65 securities registrations. Pat graduated with a Bachelor of Science in Business Management from the Philippine School of Business Administration, Manila Philippines. Pat and her husband Angel have one daughter.

Pat can assist with all client inquiries, executing trades, and gathering the information to implement your Envision® Plan

Sharlet joined Apex Securities and Asset Management after working in property management and prior to that a long history in the financial medical field. She is very experienced in providing excellent customer service. Sharlet is likely the first voice you hear when calling Apex and often the first face you see when visiting the office.

Sharlet can assist with incoming account transfers, wire transfers, account updates, provide cost basis information for your attorney and/or CPA, in addition to general inquiries. She is committed to getting client concerns addressed.

Sadly Apex Securities Co-Founder Treva Black passed away in 2018. Treva's vision, passion and love helped shape Apex Securities and make it the thriving business that it is today. Treva will be missed by her husband Gary, her family, friends, colleagues, clients and all those who were blessed to know her.

Education
CSU Stanislaus

Language
English