Experience

Castle Rock Investment Company

• United States
• Financial Services
• 1 - 100 Employee

• President and Owner

  • Apr 2006 - Present

  Castle Rock Investment Company delivers "retirement security with simplicity and ease." We realize that employees don't become investment experts after a thirty-minute education meeting. At my first real job at Transamerica, I was clueless on selecting investments for my 401(k) plan. Luckily, a ten-year bull market followed, so my ignorance wasn't a hindrance. This set the stage for the work I do today. We are honored to put our clients'​ interests first and back up our advice as a fiduciary in writing. The employees we serve have to opt out to fail. Building a business as an "accidental entrepreneur" from the ground up was challenging, to say the least, but it was the the best investment I have made to serve our corporate and governmental clients with no competing interests. Hopefully, the next ten years will be as much fun and rewarding as the last ten years have been. Specialties: ERISA Fiduciary, Fee Benchmarking, Plan Design Optimization, Vendor Search and Conversion Support, Investment Analysis and Policy Statement Creation, Participant Education and Advice as ERISA 3(21) or 3(38), Fiduciary Training. Certifications: Series 6, 63, 7, 66 and Insurance License (Life, Health and Variable Annuity) Overview of Services: -Satisfy the fiduciary duty of plan sponsors through co-fiduciary services and monitoring of legal trends. -Enhance retirement plan performance through investment selection and analysis in open-architecture environment. -Create and provide education and enrollment services for retirement plans. -We design model portfolios used by plan participants and implement Investment Policy Statements specific to each client’s needs (participants demographics and corporate objectives) using Modern Portfolio Theory measurements. -Research and analyze retirement administrators during vendor search process.



Ceridian

• United States
• Software Development
• 700 & Above Employee

• Investment Adviser

  • May 2002 - Sep 2005

  Provided co-fiduciary services to plan sponsors of workplace retirement plans at Ceridian Investment Advisors, Inc. Advised 40 plans and over $400 million with off-site manager based in Richmond, VA. Also, provided enrollment meetings nationwide for Ceridian RPS, negotiated revenue sharing agreements with more than 30 fund families, and registered Ceridian Broker Dealer, Inc. in over 20 states. Provided co-fiduciary services to plan sponsors of workplace retirement plans at Ceridian Investment Advisors, Inc. Advised 40 plans and over $400 million with off-site manager based in Richmond, VA. Also, provided enrollment meetings nationwide for Ceridian RPS, negotiated revenue sharing agreements with more than 30 fund families, and registered Ceridian Broker Dealer, Inc. in over 20 states.



T. Rowe Price

• United States
• Financial Services
• 700 & Above Employee

• Investment Adviser

  • 1999 - 2002

  -Received the top award in 2001 for recognition of superior performance and contributions -Selected for leadership development program (scored 10 out of 10 on Manchester assessment-16PF) -Served as a Client Manager in on-site Investor Center and conducted enrollment meetings for local businesses and academic benefit fairs. -Subject Matter Expert on tax laws affecting retail accounts -Received the top award in 2001 for recognition of superior performance and contributions -Selected for leadership development program (scored 10 out of 10 on Manchester assessment-16PF) -Served as a Client Manager in on-site Investor Center and conducted enrollment meetings for local businesses and academic benefit fairs. -Subject Matter Expert on tax laws affecting retail accounts



Republic Bank

• United States
• Banking
• 700 & Above Employee

• Mortgage Analyst

  • 1998 - 1999

  -Actively prospected customers through inbound and outbound phone calls for several mortgage products -Processed loans for approval, restructure or referral through extensive use of diverse financial software -Actively prospected customers through inbound and outbound phone calls for several mortgage products -Processed loans for approval, restructure or referral through extensive use of diverse financial software



Transamerica

• United States
• Financial Services
• 700 & Above Employee

• Executive Branch Manager

  • 1994 - 1997

  -Originated non-conforming mortgages through cold calling from telemarketing lists and referrals from other local lending institutions -Maintained excellent delinquency rates through tough collection practices -Originated non-conforming mortgages through cold calling from telemarketing lists and referrals from other local lending institutions -Maintained excellent delinquency rates through tough collection practices