Richard Carr
VP, Regional Business Consultant Turn-Key Asset Management AZ,CA,ID,OR,WA at Flexible Plan Investments, Ltd.- Claim this Profile
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Bio
Credentials
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FINRA Series 7 & 66
Other
Experience
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Flexible Plan Investments, Ltd.
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United States
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Financial Services
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1 - 100 Employee
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VP, Regional Business Consultant Turn-Key Asset Management AZ,CA,ID,OR,WA
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Jul 2022 - Present
Flexible Plan Investments is a turnkey asset management program (TAMP) where advisers can access and combine multiple risk-managed strategies within a single account. These fee-based separately managed accounts can provide diversified portfolios of actively managed strategies within equity, debt, and alternative asset classes on an array of different platforms. We also offer advisers the OnTarget Investing tool to help set realistic, custom benchmarks for clients and regularly measure progress, making client conversations a breeze. We are early pioneers of separately managed accounts employing dynamic investment risk management with a team of 80+ professionals are ready to assist and save you time, including: A personal support team to help you gain AUM, improve client retention, and add value to your firm. Client services specialists to answer questions and assist with accounts. Administrative support for your back-office needs.
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AXS Investments
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Investment Management
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1 - 100 Employee
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Senior Regional Director - Southern California - Nevada - Hawaii
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Jun 2021 - Jun 2022
AXS Investments is a leading asset management firm providing alternative investments for enhanced investor outcomes. We empower investors to diversify their portfolios with alternative investments that previously were available only to the largest institutional and high net worth investors. Our investor-friendly funds are time-tested, liquid and transparent, sub-advised by top institutional investment managers with long and strong track records. AXS Investments was founded upon the vision to create positive economic impact and long-term value for investors and for the communities in which we and our clients live and work.
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ProShares
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United States
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Investment Management
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100 - 200 Employee
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Senior Manager, Regional Vice President
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Feb 2019 - May 2021
Regional Vice President - Senior Manager Southern California - Arizona Cross-Channel Regional Vice President - Senior Manager Southern California - Arizona Cross-Channel
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Zacks Investment Management
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United States
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Financial Services
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1 - 100 Employee
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Regional Vice President (External Wholesaler)
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Aug 2013 - Dec 2018
As an integral member of the external wholesale team, I coordinate sales operations spanning Southern California, Nevada, and Hawaii utilizing cross-channel distribution. In this role, I oversaw activities of 16 firms and 12K advisors, analyzing market microstructure, t&e costs, market participants, and products within the market concentrating on quantitative dividends and earnings momentum. Sold products to financial advisors in the wire-house, banks, and independent advisor firms. Highlights of my experience in this role include… • Leverage expertise in liquidity and market dynamics to design systematic strategies, translating understanding into robust portfolios; manage over 400 client relationships and partnerships. • Control a territory utilizing managed accounts and mutual funds; focus firms included Morgan Stanley, Wells Fargo, Merrill Lynch, UBS, LPL and Charles Schwab.
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Deutsche Bank
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Germany
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Financial Services
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700 & Above Employee
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Wholesaler (Internal)
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Oct 2010 - Jun 2013
Combining financial theory and practical application, I delivered sustainable, long-term results managing alternatives, fixed income, floating rate, municipal bond strategies, currency hedged ETF’s and REITS. In this role, I identified and isolated factors to build effective ideas and launch innovative growth strategies. Highlights of my experience in this role include… • Led this $200MM territory maintaining a primary focus on mutual funds and independent broker deals; consistently ranked in the top five territories in the nation. • Served as sales representative covering wire house, independent, and bank channels across Southern California, Southern Illinois, Iowa, and Nebraska; specialized in mutual funds, structured products, alternatives, and fixed income strategies.
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DWS Group
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Germany
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Financial Services
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700 & Above Employee
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Regional Sales Rep.
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Oct 2010 - Jun 2013
My career in the investment industry started on the Financial Advisor side of the business at Merrill Lynch. After a successful 3 years I was recruited to join a large team in my home town working with Raymond James. After gaining extensive experience in the Wire House and Independent firms I moved to Deutsche Bank’s DWS Investments as an Internal Wholesaler. I was given the unique opportunity within DWS to cover cross channel investment firms working with both independent and large wire house firms.
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Raymond James
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United States
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Financial Services
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700 & Above Employee
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Financial Advisor
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Jun 2009 - Oct 2010
Senior Financial Advisor Asset Allocation 401k Bundled / DCIO Fee Based Platforms Brokerage Senior Financial Advisor Asset Allocation 401k Bundled / DCIO Fee Based Platforms Brokerage
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Merrill Lynch
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United States
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Financial Services
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700 & Above Employee
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Financial Advisor
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Jun 2006 - Feb 2009
$20mm AUM, PIA Team Member, Focus on MLPA, MFA, 401k/DCIO, Mortgages. $20mm AUM, PIA Team Member, Focus on MLPA, MFA, 401k/DCIO, Mortgages.
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JLR
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United Kingdom
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Motor Vehicle Manufacturing
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700 & Above Employee
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Internet Sales Manager
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Feb 2005 - Jun 2006
Internet transactions across the country. Worked the entire sales process from first conversation, to delivery. Internet transactions across the country. Worked the entire sales process from first conversation, to delivery.
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Education
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2002 - 2004
Joliet Junior College
N/A, Marketing/Finance -
2011 - 2013
Deutsche Bank
External Wholesaler Training Program (RVP Training), External Sales -
2013 - 2013
ETF Index Universe
ETF - Construction - Sales -
1999 - 2002
Minooka
General Education, Marketing -
Joliet Junior College
A
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