Experience

SFA Partners

• United States
• Financial Services
• 1 - 100 Employee

• Supervising Principal II

  • Mar 2022 - Present

  Atlanta, Georgia, United States



Advisor Group

• Financial Services
• 700 & Above Employee

• Regional Supervision Principal

  • Sep 2020 - Mar 2022

  Atlanta Metropolitan Area

• Surveillance Analyst at Advisor Group

  • Oct 2016 - Sep 2020



Reliance Financial Group

• United States
• Investment Banking

• Compliance Analyst

  • Apr 2015 - Oct 2016

  Birmingham, Alabama Area Securities offered through LPL Financial, Member FINRA/SIPC. For hyperlinks to FINRA and SIPC please refer to the contact section above. Investment advice offered through RFG Advisory, a registered investment advisor. Reliance Financial Group and RFG Advisory are separate entities from LPL Financial. • Third party posts found on this profile do not reflect the views of LPL Financial and have not been reviewed by LPL Financial as to accuracy or completeness. • For a list of states in which… Show more Securities offered through LPL Financial, Member FINRA/SIPC. For hyperlinks to FINRA and SIPC please refer to the contact section above. Investment advice offered through RFG Advisory, a registered investment advisor. Reliance Financial Group and RFG Advisory are separate entities from LPL Financial. • Third party posts found on this profile do not reflect the views of LPL Financial and have not been reviewed by LPL Financial as to accuracy or completeness. • For a list of states in which I am/we are registered to do business, please visit www.rfgadvisory.com http://www.finra.org/ http://www.sipc.org/ Show less



Kalos Financial

• United States
• Financial Services
• 1 - 100 Employee

• Compliance Analyst

  • Aug 2013 - Apr 2015

  Alpharetta


Auburn University College of Business
• United States
• Higher Education
• 200 - 300 Employee
• Graduate Research Assistant

  • Jan 2012 - Jun 2013


FSC Securities

• United States
• Financial Services
• 1 - 100 Employee

• Advisor Support Supervisor

  • Sep 2010 - Jul 2011

  Efficiently monitored a call center that serves over 2,000 brokers throughout the United States ● Created schedule shifts and reviewed time sheets for employees ● Graded two phone calls on a monthly basis for each analyst (Quality Assurance) that are a key element in each analyst’s quarterly bonus ● Compiled data needed in order to run daily, weekly, and monthly call volume reports ● Conducted two staff meetings each week to review difficult topics, to discuss new industry rules… Show more Efficiently monitored a call center that serves over 2,000 brokers throughout the United States ● Created schedule shifts and reviewed time sheets for employees ● Graded two phone calls on a monthly basis for each analyst (Quality Assurance) that are a key element in each analyst’s quarterly bonus ● Compiled data needed in order to run daily, weekly, and monthly call volume reports ● Conducted two staff meetings each week to review difficult topics, to discuss new industry rules, and to brainstorm on ways to improve

• President's Elite Specialist

  • Jan 2010 - Aug 2010

  Greater Atlanta Area Provided top tier service to the highest producing brokers of the company. ● Assisted Top Producers with operational inquiries that were resolved on a daily basis using both internal system resources and the B/D’s clearing firm, Pershing, LLC. ● Trained Top Producers on the New Advisor Portal, Netx 360, and other new systems that were rolled out by the Advisor Group. ● Created spreadsheets for Top Producing Advisors relating to cost basis information, client’s net worth… Show more Provided top tier service to the highest producing brokers of the company. ● Assisted Top Producers with operational inquiries that were resolved on a daily basis using both internal system resources and the B/D’s clearing firm, Pershing, LLC. ● Trained Top Producers on the New Advisor Portal, Netx 360, and other new systems that were rolled out by the Advisor Group. ● Created spreadsheets for Top Producing Advisors relating to cost basis information, client’s net worth, commissions, and money market accounts. ● Handled escalated issues from Top Producers (i.e. Mutual Fund Share Class Conversions, same day Federal Funds Wires, Margin calls, delayed Account Transfers, etc).

• Branch Office Examiner

  • Jan 2008 - Dec 2009

  Greater Atlanta Area Protected the company and advisors against fraud in the financial services industry through auditing the company’s brokers ● Independently prepared, planned, and conducted approximately 80 to 100 Managing branch office and Satellite branch office exams a year. ● Provided the branch managers a comprehensive report with a detailed analysis of ways to correct any deficiencies in their branch office. ● Volunteered for various time-sensitive ad hoc projects. During a Home Office audit… Show more Protected the company and advisors against fraud in the financial services industry through auditing the company’s brokers ● Independently prepared, planned, and conducted approximately 80 to 100 Managing branch office and Satellite branch office exams a year. ● Provided the branch managers a comprehensive report with a detailed analysis of ways to correct any deficiencies in their branch office. ● Volunteered for various time-sensitive ad hoc projects. During a Home Office audit conducted by FINRA, assisted with an in-depth email review and searched the back office systems to complete a spreadsheet that was missing vital client information.

• Advisor Support Analyst

  • Dec 2006 - Dec 2007

  Greater Atlanta Area Served as a resource in the call center by assisting over 2,000 brokers nationwide ● Assisted Financial Advisors with operational inquiries that were resolved on a daily basis using both internal system resources and the B/D’s clearing firm, Pershing, LLC. ● Trained new Service Analysts in using FSC operational systems, dealing with internal customers, and interaction with the different departments at Pershing to accomplish Service Analyst tasks. ● Independently studied and… Show more Served as a resource in the call center by assisting over 2,000 brokers nationwide ● Assisted Financial Advisors with operational inquiries that were resolved on a daily basis using both internal system resources and the B/D’s clearing firm, Pershing, LLC. ● Trained new Service Analysts in using FSC operational systems, dealing with internal customers, and interaction with the different departments at Pershing to accomplish Service Analyst tasks. ● Independently studied and explained the functions of three financial applications to ensure the company’s Financial Advisors were fully aware of the resources that were available to them


UPS Supply Chain Solutions
• United States
• Transportation, Logistics and Storage
• 700 & Above Employee
• Intern

  • 2002 - 2002