Experience

Concorde Investment Services

• United States
• Financial Services
• 1 - 100 Employee

• Sales Supervisor

  • Feb 2021 - Present

  I am unaffiliated with third-party sites, cannot verify the accuracy of, nor assume responsibility for any content of linked third-party sites. Information available on third-party sites is for informational purposes only. I am unaffiliated with third-party sites, cannot verify the accuracy of, nor assume responsibility for any content of linked third-party sites. Information available on third-party sites is for informational purposes only.



Triad Advisors

• United States
• Financial Services
• 1 - 100 Employee

• Home Office Principal II

  • Apr 2019 - Feb 2021

  Responsible for serving as the OSJ/Branch Office Manager for Independent Financial Advisors located within an assigned region. Home Office Principals ensure that the assigned financial advisors are meeting the standards and requirements of supervision set by regulatory agencies and the firm. Responsible for serving as the OSJ/Branch Office Manager for Independent Financial Advisors located within an assigned region. Home Office Principals ensure that the assigned financial advisors are meeting the standards and requirements of supervision set by regulatory agencies and the firm.



Triad Advisors

• United States
• Financial Services
• 1 - 100 Employee

• Compliance Auditor

  • Feb 2018 - Jun 2018

  Conduct onsite examinations of associated representatives and branch offices in order to evaluate compliance with industry and company written policies and procedures. Perform validation and analysis of collected data from to identify compliance irregularities.

• Compliance Analyst

  • May 2015 - Jan 2018

  Compliance Surveillance Analyst: monitoring trading activity and adherence to industry regulation standards, focusing on the activity of RIAs and their associated representatives. Additional duties include performing routine branch audits.



E*TRADE from Morgan Stanley

• Financial Services
• 700 & Above Employee

• Registered Representative

  • Jun 2009 - Apr 2015

  Research & Resolution Representative Research & Resolution Representative