Experience

Spartan Capital Securities, LLC

• United States
• Financial Services
• 1 - 100 Employee

• Financial Advisor / Branch Manager

  • 2012 - Present

  Greater New York City Area Spearheaded opening of initial branch office including all phases from planning to fully operational producing office. Supervised all aspects of branch operation and management. Diligently managed client accounts and provided comprehensive financial advisory advice for retirement, estate, investments and risk management. Able to build and grow long-term relationships with clients while developing customized financial plans and goals.



Optis Group / Laidlaw & Company (UK) Ltd.

• Senior Partner at Opits Group / Registered Options Principal

  • 2005 - 2012

  Greater New York City Area Supervised and directed financial planning and asset management of international and domestic corporations and individuals. Served as program manager in charge of all aspects of client relationship management and client retention. Responsible for daily review and approval of all options trading within the branch. Developed and conducted training meetings and seminars to integrate the use of options strategies into client trading accounts. Responsible for key account management.



US Navy

• United States
• Armed Forces
• 700 & Above Employee

• Naval Reserve Officer - Lieutenant

  • 1996 - 2008

  Greater New York City Area



S. W. Bach &Company / Harrison Securities

• Account Executive/Principal/Registered Options Principal

  • 2002 - 2005

  Greater New York City Area Directly responsible for conducting quarterly performance reviews, broker interviews, and records retention interviews for over 30 brokers. Acted as a Registered Options Principal in supervising some of the firm’s largest domestic and international accounts. Provided direct investment management to some of the firm’s largest domestic and international clients. Oversaw the creation and implementation of new performance and training initiatives for all licensed personnel.



Vanguard Capital

• Account Executive / Registered Options Principal

  • 1999 - 2002

  Greater New York City Area Supervised all options trading and managed a staff of five team members. Spearheaded opening of initial regional office, growing from a team of five to over fifty within two years. Created an options trading component within the organization that drastically increased productivity. Provided quality customer care to both domestic and international clients, successfully managing over 200 clients directly and over 1000 clients as options principal.



H.D. BROUS AND COMPANY

• Account Executive

  • Aug 1998 - Jul 1999

  H.D. BROUS AND COMPANY - Great Neck, New York Recruited to manage over 100 individual and institutional investors’ accounts at a well-respected financial brokerage firm. Oversaw financial purchasing and sales, while supervising and training a team of five employees.  Meticulously integrated a training program to train employees in all matters relating to financial administration and applied stringent hiring techniques, achieving a higher level of performance than organizations twice the size.



WALSH MANNING SECURITIES

• Account Executive

  • Oct 1996 - Aug 1998

  New York, New York Awarded promotion due to a proven track record of success in the account executive training program at a full service brokerage house serving a wide range of investors with all matters of financial planning and securities.  Managed over 50 accounts; financial recommendations to clients, monitored performance and supervised training and performance of a staff of five.  Achieved FINRA Series 7 and Series 63 licensing by excelling in the rigorous testing procedures, resulted in… Show more Awarded promotion due to a proven track record of success in the account executive training program at a full service brokerage house serving a wide range of investors with all matters of financial planning and securities.  Managed over 50 accounts; financial recommendations to clients, monitored performance and supervised training and performance of a staff of five.  Achieved FINRA Series 7 and Series 63 licensing by excelling in the rigorous testing procedures, resulted in advancement from trainee to account executive and allowing for unaided management of accounts. Show less