Law Student

• Aug 2021 - Present

Legal Intern

• May 2023 - Aug 2023

Law Clerk, Consumer Unit

• Jan 2023 - May 2023

Judicial Intern

• Aug 2022 - Jan 2023

Project Manager, Supervision

• Feb 2020 - Jul 2021

Manager, Supervision - Branch Advertising Review

• Jul 2018 - Feb 2020

In this role I managed a team of 4 Registered Principals responsible for review and approval of advertising communication materials created by the Financial Advisors pursuant to FINRA Rule 2210 and SEC regulations. I also managed the two Administrative Professionals for the department. I worked directly with upper management, compliance, auditors, and regulators to help ensure our Financial Advisors adhere to firm and regulatory policy when advertising to the public.

Senior Advisor, Supervision - Advisory Advertising Review

• Jan 2018 - Jul 2018

In this role as a Registered Principal I was responsible for review and approval of advisory related materials, per SEC and FINRA guidelines. Examples of materials reviewed include Requests for Proposals and Performance Advertising.

Registered Sales Assistant

• Dec 2014 - Jan 2018

In this role I provided pro-active support to financial advisors and assisted with efficient and highquality client service. I organized, managed, and tracked multiple detailed activitiesand assignments with frequently changing priorities and deadlines in a fast-pacedwork environment.Accomplishments:Fostered the successful transition of a new Financial Advisor and 200million dollar book of business to Raymond James & Associates.Acted as Branch Technical Liaison between the corporate home officeand onsite 3rd party vendors for the successful migration of the Branchtelephone system to the new AVAYA Voice-over IP system.Selected as one of two Sales Assistants to represent the Miami, FLcomplex and attend the SA Conference at the home office during thefirst year of employment. Show less

Registered Sales Assistant

• Jun 2013 - Dec 2014

I this role I corresponded and interacted daily, on the phone and in person, with existing and prospective clients handling basic and in depth inquiries. I provided pro-active administrative and sales support to financial advisor, preparing letters, documents and forms, and spreadsheets, ensuring the highest level of client service. Accomplishments: Served as Branch representative for the installation of new computers for all Financial Advisors and Sales Assistants insuring the completion of project deliverables. Show less

Registered Sales Assistant

• Feb 2013 - May 2013

MIT Sales Associate

• Apr 2012 - Sep 2012

Senior Retail Investment Services

• Aug 2010 - Feb 2012