Senior Compliance Officer

• Aug 2010 - Present

Concorde Investment Services, LLC is a FINRA member Broker Dealer, and Concorde Asset Management is an SEC Registered Investment Advisory firm, both headquartered in Livonia, MI. Securities offered through Concorde Investment Services, LLC (CIS), member FINRA. I and CIS are 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. Concorde Investment Services, LLC is a FINRA member Broker Dealer, and Concorde Asset Management is an SEC Registered Investment Advisory firm, both headquartered in Livonia, MI. Securities offered through Concorde Investment Services, LLC (CIS), member FINRA. I and CIS are 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.

Account Manager-Direct Participation Programs

• Oct 2006 - Sep 2009

Responsible for coordinating and managing Direct Investment (DI) client activities for multiple DI clients. Respond to issues, requests and inquiries from DI clients and from internal departments that need to be researched and resolved. Maintain thorough knowledge of DI business and DI client operations including client commission processing, distributions, maintenance, tax reporting requirements, and subscription input. Act as a liasion between the client and internal business partners. Work closely with Relationship Manager to ensure high level of service to the client. Look for ways to improve processes and procedures in order to achieve the highest level of service possible to the client.

Broker Dealer and RIA Registrations Manager

• 1998 - 2006