Senior Consulting Analyst

• May 2021 - Present

VER BOCKEL RAIHLE GROUP - SENIOR CLIENT ASSOCIATE

• Oct 2019 - Oct 2020

VER BOCKEL RAIHLE GROUP - Registered Private Wealth Associate

• May 2017 - Oct 2019

➢Support a $11MM production team consisting of two producing Advisors and six support staff (three PWAs & three Analysts) ➢ Review daily trade reports ➢ Lead client-facing and prospect interactions including new client onboarding and other key account touch-points -> Trading of Options, Equities, and Fixed Income in transactional client accounts ➢ Manage subscriptions, capital calls, and distributions for all alternative investment products ➢ Conduct complex bi-monthly cashflow analyses for team clients, as required ➢ Organize meeting preparation and presentations for all face-to-face client and prospect meetings ➢ Execute the implementation of various managed strategies -> Manage Salesforce - client communication and tracking

Registered Client Service Associate

• Dec 2012 - Nov 2014

 Client-facing, performing various services, including operational and administrative functions.  Coordinate, plan, and attend client meetings, events, and seminars.  Executes all transactional business trades (stocks, options, and fixed income)  Assists in soliciting and closing all Private Banking business for client Portfolio Loan Accounts and Express Credit Lines  Handles all Syndicate business (paperwork, preliminary prospectus mailing, IOI, and allocation)  Monitors all Advisory business in the operational capacity (client required documentation and inception of the account onto specific managed platforms)

Senior Examiner

• Jan 2007 - Nov 2009

Member Regulation Conducted thorough analysis of Chicago Climate Exchange Policies and Procedures, produced deadline driven statistical analysis reporting to Senior Management. Worked independently and directly with all C-Level & In-house Counsel of exchange members to conduct comprehensive analysis of their compliance; Member Regulation rules pursuant to their contractual an regulatory requirements including; Conducted statistical analysis, FINRA, SEC and MSRB regulatory review and detailed analysis of member firm production and overall business scope to determine areas for operating improvement and further examination. Worked within strict deadlines to evaluate broker/dealer sales practices of Equities, Corporate and Municipal Bonds, Mutual Funds and Options encompassing anti-money laundering programs that included BSA compliance and KYC/CIP procedures; supervisory procedures and their implementation; adherence to the Customer Protection Rule and net capital requirements as well as confirmation of conformity to NASD rules and federal securities laws. Investigated investor complaints of member firm misrepresentation/omission, suitability, churning, unauthorized trades and all other claims against broker/dealer firms to determine the further FINRA pursuit of action.