Independent certified financial planner specializing in risk management through life insurance,
disability insurance and long-term care solutions, and college and retirement planning.
• Guide clients using SWOT analysis to provide broad analysis of client's financial strengths and weaknesses, focused on implementing comprehensive, long-term solutions.
- Certified Financial Planner at
- Financial Advisor at Northwestern Mutual
- Passed the Certified Financial Planner (CFP) exam at FINANCIAL CREDENTIALS
- Financial Services Professional and Licensed Agent at New York Life Insurance Company
1 month at this Job
- Certificate in Financial Planning
- B.S. - Business Administration
Founded fee-only financial planning firm. Registered investment adviser.
- Certified Financial Planner at Objective Financial Solutions LLC
- Realtor at Beverly-Hanks & Associates
- Lecturer of Finance at University of Denver
3 months at this Job
- Master's - Business Admin (MBA)
- Bachelor's - Business Admin--Real Estate (Finance)
1998 to 2018
• Recommended, implemented and monitored financial planning strategies through above skills to assist existing clients in improving financial condition and gain new clients to grow this company.
- Certified Financial Planner at Strategic Asset Management, L.L.C
- Partner in Charge at Shareholder
- Senior Accountant at Gottschalk & Company, CPAs
20 years, 9 months at this Job
- MBA - Accounting
- Certified Financial Planner at Chronology
- Certified Financial Planner at JHS Capitol Advisors
- Financial Advisor at Woodbury Financial Services
- Financial Advisor at Sun Trust Investment Services
5 years, 11 months at this Job
- Bachelor of Arts - Business/Finance
Working with a diverse investment product base that included mutual funds, stocks, bonds, life insurance, annuities, and estate planning programs.
- REGISTERED INVESTMENT ADVISOR, CERTIFIED FINANCIAL PLANNER at TRANSAMERICA FINANCIAL ADVISORS
- VICE PRESIDENT OF DEVELOPMENT, CERTIFIED FINANCIAL PLANNER at REILLY FINANCIAL ADVISORS
- VICE PRESIDENT OF BUSINESS DEVELOPMENT, CERTIFIED FINANCIAL PLANNER at LIGHTHOUSE FINANCIAL
- REGISTERED INVESTMENT ADVISOR, CERTIFIED FINANCIAL PLANNER at INDEPENDENT CAPITAL MANAGEMENT
10 months at this Job
- Bachelor of Arts in Psychology - Business
The CFP Board benefits the public by granting the CFP® certification and upholding it as the recognized standard of excellence for competent and ethical personal financial planning. Oversee CFP Board’s $11 million integrated public awareness campaign and the CFP® and CFP Board brands. · Conducted qualitative and quantitative research to inform new brand positioning and develop new creative campaign and communications company-wide. Oversee media planning and consumer digital/social channels. Onboarded new agency of record and launched new integrated campaign, increasing awareness of CFP® certification by more than 40%. · Documenting, institutionalizing, and monitoring use of brand guidelines and intellectual property.
- Director Advertising & Brand Engagement at Certified Financial Planner Board of Standards, Inc
- Director of Marketing at Certified Financial Planner Board of Standards, Inc
- Vice President, Advertising at Brand USA
- Senior Director, National Advertising & Marketing Programs at Amtrak
5 years, 6 months at this Job
- Bachelor of Arts - Business Administration and Accounting
Exams Passed Series 7 Series 66 Series 31 * Monitor account performance in line with client objectives * Maintain advisor relationships * Review account documents to ensure in line with financial regulations
- Certified Financial Planner at Designations and Assoications
- at OneSource Financial
- Registered Client Associate/CERTIFIED FINANCIAL PLANNER practitioner at Gasber Financial Advisors
- Registered Associate/CERTIFIED FINANCIAL PLANNER practitioner at Graystone Consulting- Morgan Stanley
3 years at this Job
- Bachelor of Science degree - Financial Management
Provided advice to stakeholders on CFP Board's Standards of Professional Conduct. Developed and drafted CFP Board's new Code and Standards. Conducted financial investigations and managed team of investigators. Litigated cases in disciplinary and appeal hearings. Drafted complaints, motions, and appeal responses. Negotiated settlement agreements on behalf of CFP Board.
Legal Advice and Rule Drafting
● Provided written and oral advice to financial planners relating to the interpretation of CFP Board's Standards on topics including engagement requirements, disclosure requirements, conflicts of interest, product recommendations, and outside business activities.
● Researched financial instruments such as private placements, variable annuities, permanent life insurance, tenant-in-common interests, and promissory notes, which resulted in informed decisions, correct case resolutions, and insightful legal advice to department staff.
● Executed rule-making process by researching state and federal regulations and other industry standards, drafting proposed rules with commentary, consulting with stakeholders, incorporating public comments, and finalizing rules.
● Drafted Financial Planning Practice Standards and Disclosure sections of new Code and Standards, which were approved by Board of Directors and raise standards and professionalism for 80K+ financial planners.
● Monitored laws and rules that impacted financial planners and drafted public comments on AICPA's Statement on Standards in Personal Financial Planning Services which expressed CFP Board's opinion. Litigation and Prosecution
● Drafted and filed 100+ complaints seeking discipline for such conduct as unauthorized trading, failure to execute, outside business activities, suitability, fiduciary duty, failure to disclose, unethical conduct, and other securities law violations.
● Served as lead counsel in 80+ hearings, which involved presenting opening and closing statements, directing expert witnesses, and cross-examining defendants.
● Defended decisions in appeal hearings that resulted in appeals committee affirming rulings.
● Secured public discipline against respondents who had not been sanctioned by state or federal regulators or self-regulatory authorities, which informed and benefited the public.
● Created and implemented multiple improvements to complaint template that reduced questions from respondents, saved staff time, and achieved consistent prosecution of cases. Investigation
● Completed 1K+ investigations involving legal and ethical violations, enforcing CFP Board's Standards and upholding the reputation of the certification.
● Managed team of investigators by advising on requests for information, reviewing complaints, and making final decisions on case dispositions, which ensured proper outcomes and strengthened cases.
● Created memorandum to help investigators determine whether financial advisor's recommendation of alternative investments was suitable, which resulted in successful prosecution of cases, standardization of case decisions, and increased efficiency.
● Received complex, 5- to 10-year-old cases from other investigators and successfully prosecuted through hearing process, which freed up department resources and enforced CFP Board's Standards. Communication
● Trained new staff members on organization's rules and procedures, enabling quick transition into their roles.
● Drafted responses to subpoenas and information requests from government entities, fulfilling legal requirements.
● Delivered presentations in concise and clear manner and effectively explained legal concepts to non-lawyer audiences to communicate department's value.
● Developed and presented webinar for continuing education providers that helped create effective programs to educate CFP(R) professionals.
- Compliance Counsel at CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC
- Compliance Analyst at CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC
- Compliance Analyst Contractor at CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC
5 years, 3 months at this Job
- Juris Doctor
- Bachelor of Science in Engineering - (BSE), Biomedical Engineering
Uncover opportunities, outbound calling, helping people make and save money
● Investment advising annuities, insurance, and market-linked CDs
● Earned Series 6, Series 63, Series 65, Life, Accident and Health Licenses
- Licensed Relationship Partner, CERTIFIED FINANCIAL PLANNER (TM) at CITIZENS BANK
- Founder at BOSTON VOLUNTEERS
- Three person investment office at COHEN INVESTMENT ADVISORS
1 year, 11 months at this Job
• Assists candidates with online examination registration and other aspects of the testing/exam process such as withdrawals, refunds, special requests/needs and promotional offers.
• Monitors registration activities, calendars and runs regular reports and updates for departmental review and disposition.
• Assures best practices and stringent test security measures consistent with CFP Board policies and procedures are adhered to under guidance of the Director of Examinations.
• Executes online reporting of examination results, and conducts a detailed quality control review before results release.
• Leads the development and implementation of the CFP® Exam Experience Webinars.
• Identifies and recruits volunteers for Item Writing Workshops and Examination Reviews. Maintains an up-to-date volunteer database.
• Works with volunteer subject matter experts on strategy, exam content, exam development, and delivery methodologies.
• Provides support and participates in Examinations meetings including, Council and Committee meetings, Task Forces, and Item Writing sessions.
• Assures current reporting of copyright registration of CFP Board's item bank.
• Managed and updated CFP® exam related content on CFP Board's website.
- Examinations Administrator at Certified Financial Planner Board of Standards Inc
- Stakeholder Support Specialist at Certified Financial Planner Board of Standards Inc
- Education Specialist at Certified Financial Planner Board of Standards Inc
- Market Research Assistant at Bain & Company
1 year, 4 months at this Job
- Bachelors of Science in Marketing - Marketing