Sr. Analyst,RIA Compliance

• Oct 2022 - Present

Compliance Analyst

• Apr 2021 - Oct 2022

Support the supervision and compliance initiatives of the firm by conducting daily supervisory reviews and approvals of the firm’s trade blotter, investment product switches, frontrunning, alternative investments, annuities, option accounts, and email surveillance. Conduct branch exams. Utilize FINRA Gateway to process U4 and U5 filings. Train and coach new employees and financial advisors. Securities offered through LPL Financial, member FINRA/SIPC. For hyperlinks to FINRA and SIPC, please refer to the 'Contact Info' section above.​ Investment advice offered through Stratos Wealth Partners, Ltd., a registered investment advisor and a separate entity 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. • The financial professionals associated with LPL Financial may discuss and/or transact business only with residents of the states in which they are properly registered or licensed. No offers may be made or accepted from any resident of any other state. Show less

Senior Principal Review Desk Representative

• Aug 2016 - Jan 2021

Provide analysis and best interest review of bank brokerage sales activities including new account opening, annuity/insurance review, trade review, managed account review, and surveillance functionality. Cover designated offices and work closely with Principal Review Desk Manager, Financial Advisors, and Sales Managers to ensure recommendations met firm and industry guidelines. Provide analysis and best interest review of bank brokerage sales activities including new account opening, annuity/insurance review, trade review, managed account review, and surveillance functionality. Cover designated offices and work closely with Principal Review Desk Manager, Financial Advisors, and Sales Managers to ensure recommendations met firm and industry guidelines.

Central Review Principal, Officer

• Apr 2014 - Aug 2016

Responsible for suitability review and approval of all annuity products and daily trade activity. Partnered with the Regional Supervisory Office to ensure that daily activity for Series 7 and Series 6 Licensed representatives met PNCI Compliance and governing body regulations and policies. Role was critical in mitigating risk to the firm and client. Developed training materials and training plans for new team members. Provided coaching and training to team and internal partners. Identified and implemented process improvements. Participated in projects related to new product offerings. Show less

Compliance Specialist

• May 2013 - Apr 2014

Kept current on industry trends and regulations. Responsible for review of advertising, correspondence, email, and outside business activities for assigned registered representatives. Performed compliance audits of member offices. Recommended updates to firm policies and procedures. Responsible for onboarding of new member offices. Responded to inquiries from member offices and back office staff. Kept current on industry trends and regulations. Responsible for review of advertising, correspondence, email, and outside business activities for assigned registered representatives. Performed compliance audits of member offices. Recommended updates to firm policies and procedures. Responsible for onboarding of new member offices. Responded to inquiries from member offices and back office staff.

Financial Planning Assistant

• Jan 2010 - Apr 2013

Participated in client meetings to ensure client's understanding of investment objectives, goals, and product selection. Assisted with firm marketing and prospecting. Responsible for data gathering to prepare financial plans. Participated in client meetings to ensure client's understanding of investment objectives, goals, and product selection. Assisted with firm marketing and prospecting. Responsible for data gathering to prepare financial plans.

Call Center Associate III

• Jun 2009 - Dec 2009

Became a subject matter expert on annuity contract. Provided superior customer service to clients and agents. Participated in projects on an as needed basis. Became a subject matter expert on annuity contract. Provided superior customer service to clients and agents. Participated in projects on an as needed basis.

Register Client Service Associate

• May 2004 - Apr 2009

This position was formally with McDonald Investments. McDonald Investments was purchased by UBS. Partnered with financial advisors to service clients and grow revenue. Provided operational support to branch management. Responsible for onboarding and training of new employees. This position was formally with McDonald Investments. McDonald Investments was purchased by UBS. Partnered with financial advisors to service clients and grow revenue. Provided operational support to branch management. Responsible for onboarding and training of new employees.

Registered Sales Assistant

• Jun 2002 - May 2004

Met with clients to determine financial needs and recommend investment products. Assisted financial advisors with client service needs and investment proposals. Met with clients to determine financial needs and recommend investment products. Assisted financial advisors with client service needs and investment proposals.

Registered Sales Assistant

• Apr 2001 - May 2002

This company was formally known as United Financial Advisors. Assisted financial advisors in building client relationships. Processed client service requests. Tracked firm sales and commissions. This company was formally known as United Financial Advisors. Assisted financial advisors in building client relationships. Processed client service requests. Tracked firm sales and commissions.

Teller/Telephone Banking Representative

• Mar 2000 - Apr 2001

Worked as a teller assisting with client service needs and referrals to banking sales representatives. Transitioned to a Telephone Banking Representative. Here I responded to client account inquiries, identified client needs, and recommended banking products. Worked as a teller assisting with client service needs and referrals to banking sales representatives. Transitioned to a Telephone Banking Representative. Here I responded to client account inquiries, identified client needs, and recommended banking products.