Experience

inSOURCE Financial Advisors
• United States
• Financial Services
• 1 - 100 Employee
• Financial Advisor

  • Jul 2019 - Present


Ameritas Investment Corp

• Investment Management

• Investment Advisor (formely Compliance Manager and Examiner)

  • Aug 2013 - Jul 2019

  Working with individuals and entities of all sizes to meet their investment and insurance goals. Working with individuals and entities of all sizes to meet their investment and insurance goals.



Great Western Financial Services

• V.P., Training and Compliance Manager

  • Feb 2000 - Apr 2013

  Responsible for: Co-Management of sales force of 50+ full-time “Dedicated” reps and part-time licensed banker “Platform” reps Sales and administrative support including development and presentation of training modules, day to day motivation and mentoring, and trouble shooting for new and existing agents and registered representatives Coordination of quarterly training and motivation meetings for agents and registered reps Development and compliance approval of marketing and advertising materials Review and approval of insurance and securities transactions for suitability and record keeping Due diligence of products and product vendors Development and implementation of compliance systems, policies and procedures to ensure compliance with state, federal, and self-regulatory organization rules, policies, and procedures Conducting and/or managing branch, OSJ, and regulatory agency audits Licensing and continuing education



Allstate Life Companies

• Manager of Marketing Development and Support, Chief Compliance Officer, and Director of Compliance

  • Oct 1995 - Jan 2000

  Lincoln Benefit Life, Surety Life, LSA Securities, Lincoln Benefit Financial Services; Responsible for: New product introductions Managing creation of product marketing and training materials Author newsletters to agents and home office employees Conducting home office and field training Conducting Diversity Training for home office employees Managing IMSA validation process for Surety Life Development and implementation of compliance systems, policies and procedures to ensure compliance with state, federal, and self-regulatory organization rules, policies, and procedures Conducting and/or managing branch, OSJ, and regulatory agency audits



United Advantage Investments

• Registered Representative, Insurance Agent, Compliance Officer

  • Jun 1991 - Sep 1995

  Building a successful investment and insurance office from the ground up Conducting seminars on estate, retirement, education, and business planning Providing sales, product, and compliance training to agents and registered representatives Assisting in the creation, approval, and implementation of advertising and marketing materials and campaigns Development of compliance systems, policies and procedures to ensure compliance with state, federal, and self-regulatory organization rules, policies, and procedures Conducting and/or managing branch, OSJ, and regulatory agency audits



First National Brokerage

• United States
• Insurance
• 1 - 100 Employee

• Registered Representative, Insurance Agent, General Principal

  • May 1991 - Mar 1992

  Conducting seminars on estate, retirement, education, and business planning Assisting in the creation, approval, and implementation of advertising and marketing materials and campaigns Conducting investment account analysis and recommendations Conducting seminars on estate, retirement, education, and business planning Assisting in the creation, approval, and implementation of advertising and marketing materials and campaigns Conducting investment account analysis and recommendations



Edward Jones – Independence, IA & Atlantic, IA

• Registered Representative and Insurance Agent

  • Jul 1985 - May 1991

  Responsible for: Building two successful investment and insurance businesses from the ground up Conducting seminars on estate, retirement, education, and business planning Assisting in the creation, approval, and implementation of advertising and marketing materials and campaigns Conducting investment account analysis and recommendations Responsible for: Building two successful investment and insurance businesses from the ground up Conducting seminars on estate, retirement, education, and business planning Assisting in the creation, approval, and implementation of advertising and marketing materials and campaigns Conducting investment account analysis and recommendations