Experience

Expand Financial, LLC

• United States
• Financial Services
• 1 - 100 Employee

• Director of RIA/Trust Compliance & Operations

  • Apr 2023 - Present



FIS

• United States
• Financial Services
• 700 & Above Employee

• Compliance Manager

  • Dec 2022 - Apr 2023



NewEdge Advisors

• United States
• Financial Services
• 1 - 100 Employee

• Compliance Officer

  • Nov 2021 - Nov 2022



Keen Wealth Advisors

• United States
• Financial Services
• 1 - 100 Employee

• Chief Compliance Officer & VP of Operations

  • Nov 2018 - Jul 2021

  Responsible for overseeing Compliance program for entire firm. Management of Compliance and Operations team members. Buildout of new CRM and reporting systems (Salesforce and Orion). Review of employee personal security holdings reports, email & social media review, advertising & marketing material reviews. Working with auditors on SEC exam request documentation materials. Quarterly and annual strategic planning sessions for the firm.

• Operations Manager

  • Mar 2018 - Mar 2019

  Overland Park, KS Managed Operations and Advisors team members. Responsible for overseeing all operational processes including cash management, account opening, and billing of client accounts.



AE Wealth Management, LLC

• United States
• Financial Services
• 1 - 100 Employee

• Operations Manager

  • Mar 2016 - Mar 2018

  Managed daily operations of newly formed & rapidly growing RIA firm. Supervised all operational functions as well as staff members. Worked with dual custodial partners and third party vendors to ensure highest level of support is given to advisors as well as internal staff. Assisted with technology build outs and implementations to ensure successful rollout for all users. Provided support to advisors and their staff as well as extensive training for internal staff members on industry topics… Show more Managed daily operations of newly formed & rapidly growing RIA firm. Supervised all operational functions as well as staff members. Worked with dual custodial partners and third party vendors to ensure highest level of support is given to advisors as well as internal staff. Assisted with technology build outs and implementations to ensure successful rollout for all users. Provided support to advisors and their staff as well as extensive training for internal staff members on industry topics, processes & procedures. Assisted in the creation and writing of IOP's for department. Show less



Waddell & Reed

• United States
• Financial Services
• 700 & Above Employee

• Brokerage Consultant

  • Oct 2014 - Mar 2016

  Supervised Choice Advisors daily sales activities, including mutual funds, equities, ETF's, UIT's, and fixed income product transactions.

• Consultant Investment Advisory

  • 2012 - Oct 2014

  kansas city, missouri area Provided suitability review of mutual fund Wrap business submitted by Financial Advisors ensuring compliance with company and SEC rules & regulations.

• Brokerage Services Operations Manager

  • Sep 2009 - Jun 2012

  Managed Brokerage Services operational functions and staff members. Provided support to Financial Advisors and their clients.



VSR Financial Services

• Vice President of New Business

  • Jul 2002 - May 2009

  Responsible for the day-to-day management of the New Business Department. Implemented new procedures to improve efficiencies in the overall operations of the department. Managed and oversaw New Business Department consisting of 6 full time employees Selected and trained new staff members as needed Played an active role in developing new internal back office software system Created electronic workflow system for processing paperwork Trained and directed staff members of… Show more Responsible for the day-to-day management of the New Business Department. Implemented new procedures to improve efficiencies in the overall operations of the department. Managed and oversaw New Business Department consisting of 6 full time employees Selected and trained new staff members as needed Played an active role in developing new internal back office software system Created electronic workflow system for processing paperwork Trained and directed staff members of Registered Representatives Performed daily compliance review of all investment business Researched documentation for regular FINRA and SEC audits Extensive product knowledge including mutual funds, variable annuities, and alternative investment products Attended Real Estate Investment Trust Due Diligence Meetings Prepared & presented operational training materials on the financial industry to Advisors, Assistants, and Home Office staff Increased client service capabilities through automation of innovative processing and approval of client records and accounts Show less