I am a Registered Investment Advisor with a Series 7 and Series 66. I manage financial portfolios through H.D. Vest
- INVESTMENT ADVISOR at CEDAR GREEN FINANCIAL
- Tax Preparer at Krater Tax Associates
- TAX ASSOCIATE at H&R BLOCK
- Financial Advisor at Edward Jones
3 years at this Job
- Master of Education - Instructional Leadership
- Bachelor of Science - Mathematics Education
- Bachelor of Art - Speech Communication
Investment Advisor to clients to help them manage their financial & equity portfolios, with emphasis on research & analysis of global technology companies.
- Investment Advisor at Self Employed
- Principal Architect at Infosys
- Divisional Vice President, E-Commerce Architecture at PaineWebber/Union Bank of Switzerland, NJ
- E-Business/Internet Strategist/Architect at IBM
10 years at this Job
- Master's - Computer Science
- Bachelor's - Electrical Engineering
• Passed the Uniform Investment Adviser Law Exam (i.e. The Series 65) which is a requirement to become a licensed Investment Advisor Representative
• Member of the investment research team, which researches and presents statistical data on equity, debt, and index securities for potential future investment of client assets
• Developed "self-balancing" investment models, that were adopted into the OFS client investment strategy, creating an alternate method of client asset management that is more efficient and broad reaching for client investment goals, and their respective risk tolerance.
- Investment Advisor Representative at Optimum Financial Services, LLC
- Lead Generation Specialist at C Spire Business Solutions
- Data Analyst & Client Account Manager at Vu Digital LLC
- Prototype Retail Store Manager at Fondren Micro Store
1 year, 2 months at this Job
- - French Language
- B.A. - Marketing
I worked in Trust Operations from 1981to 1997 which involved purchasing and selling securities, collecting interest and dividends. After a merger from United Carolina Bank to BB&T, I worked with Phone 24 as a Customer Service Representative from 1997 to 2004 and Investment Advisor CSR for retirement accounts until I retired in 2008.
- Investment Advisor at BB&T
- Customer Service Representative at
- Investment Advisor at BB&T
27 years, 3 months at this Job
- Bachelor's - Religion
- High school - Required
• Established my own Tennessee based Registered Investment Advisor (RIA)
• Provide fee-based financial planning for clients
• Utilize third party money management for investment accounts
• Track client accounts, activity and communications
• Teach College Planning workshops
- REGISTERED INVESTMENT ADVISOR at PEAK FINANCIAL PLANNING, LLC
- VICE PRESIDENT at NASHVILLE PRIVATE WEALTH MANAGEMENT
- FINANCIAL SERVICES REPRESENTATIVE at METLIFE PREMIER CLIENT GROUP
- BRANCH OFFICE MANAGER at TRANSAMERICA FINANCIAL ADVISORS
1 year, 7 months at this Job
- B.S. - CHEMISTRY
Manage high volume of inbound/outbound calls for largest investment advisor corporation in U.S. Provide world-class customer service to national key account employee groups in managing/balancing retirement accounts (401K and IRAs). ♦ Utilize database, Salesforce platform and dialer to assist customers with updates to 401K and IRA accounts. ♦ Use Metric program for IRA account rollover, new employee enrollment and service addition/removal. ♦ Product Specialist training employees and business how and why to use our product in order to increase 401k and IRA income for future retirement Cont. Achievements ♦ Recognized as top-producer during tenure, and earned Top Performer designation in first and third quarter of 2018 and fourth quarter of 2017. Exceeded all metrics such as new money, fund rollovers, new enrollments, account retention and referrals. ♦ Expedite approximately 100 outbound calls(B2B) daily on a quarterly basis to update retirement accounts while simultaneously handling 50+ inbound calls.
- Investment Advisor at FINANCIAL ENGINES
- Mortgage Underwriter at J.P. MORGAN
- Assistant Warehouse Manager at PINNACLE PEAK TRADING CO
- Business Operations Intern at PINNACLE PEAK TRADING CO
2 years at this Job
- B.S. - Finance
Brea, CA, a full-service, fully licensed, independent Broker/Dealer,
Member FINRA, SIPC, and Registered Investment Advisor that has served families for more than 30 years
Registered Investment Advisor / Registered Representative - CRD# 6855812. 2017 - Present
• Series: 6.63,65,7,24
- Member FINRA, SIPC, and Registered Investment Advisor at TRANSAMERICA FINANCIAL ADVISORS, Inc
- Licensed Insurance Agent at WORLD FINANCIAL GROUP
- Director of Marketing at PREMIO , INC
- at PREMIO , INC
2 years at this Job
- - CERTIFIED PRODUCTION AND INVENTORY MANAGEMENT
- Master of Science degree - Accounting
- Bachelor of Business Degree in Accounting - PROFESSIONALDEVELOPMENTS
Experienced and educated Investment Advisor Representative adept at financial management, reporting, auditing and analyzing. Results-oriented financial professional knowledgeable about diverse investment, savings and debt plans. Proficient in successfully improving policies and procedures to optimize performance and increase revenue. Excellent communication, decision-making, project management and conflict-resolution abilities.
- Investment Advisor Representative at River Cities Financial Services
- Pharmacy Technician at B&W Pharmacy
4 years, 10 months at this Job
- Master's - Business Administration (MBA)
- Bachelor's - Business Administration
- Associate - Business Administration
- High school
Braintree, MA 2001-present
A financial planning and investment management firm.
Registered Investment Advisor
• Founded and grew a wealth management practice from scratch, with a philosophy of "Partner, Plan & Perform", servicing high net worth clientele.
• Provide custom financial planning including strategies for retirement, business, estate, balance sheet management, insurance needs, stock option management and tax considerations.
• Customized portfolio management including investment selection, design and performance measurement.
• Business consulting expertise including start-up entities, financial planning, bank financing, business plans, structured finance and financial and operational management reporting.
• Experience with due diligence and valuation for private equity and venture capital.
• Developed start up business and capital raising plan securing financing for multimillion-dollar projects, including the $6MM Foxboro Sports Center.
• Designed marketing materials and wrote all client and market commentary for target markets clients, prospects and peers on relevant economic and financial issues.
- Registered Investment Advisor at Compass Capital Corporation
- Chartered Financial Analyst/Financial Advisor at Merrill Lynch
- Controller, Sales & Marketing Division at EMC Corporation
- Manager, Financial Planning and Analysis at Textron Corporation
18 years at this Job
- Master of Science in Finance - Finance
- Bachelor of Science in Business Administration - Business Administration
• Qualified group retirement plan (401(k)) fiduciary advisor managing the client relationship, investment lineup selection, investment policy statement, vendor selection, plan design, employee education, etc.
• Financial planning and investment management for individuals and families using investment model strategies, insurance planning, retirement income modeling and goal setting
• Management of CRM, custodian trading platform, financial planning technology tools and other key systems to implement client success
- Investment Advisor at MCCULLEY FINANCIAL GROUP
- Senior Vice President, Internal Audit at MB FINANCIAL BANK
- Senior Audit Manager at BMO HARRIS BANK
- Audit Manager at BMO HARRIS BANK
10 months at this Job
- Bachelor of Business in Finance - Business