Experience

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  LPL Financial

  • United States
  • Financial Services
  • 700 & Above Employee

  • Manager, Financial Planning Operations

    • Apr 2015 - Present

  • Senior Financial Planning Consultant

    • Jul 2008 - Present

    Advise planners on ways to strengthen their finanacial planning skills, create better quality financial plans, and increase their success through fee planning and consulting. Review and approve financial plans for compliance with company policies and FINRA/SEC regulations.

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  Asset Preservation Strategies, Inc., and QA3 LLC

  • Financial Planning Practitioner

    • Jun 2003 - Oct 2007

    Prepared financial plans and provided financial planning, wealth management, estate planning, and charitable giving adviceAnalyzed investment portfolios for risk vs. return; prepared investment policies; gathered assets

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  Washington Mutual

  • Loan Consultant

    • 2004 - 2007
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  RSM McGladrey

  • Manager, Wealth Management Solutions

    • Nov 2000 - Apr 2002

    Created fee-only wealth management practice for this accounting firm's tax, audit, and consulting clients in the San Diego officeReached 104% of annual insurance goal in 8 monthsCreated and conducted workshops for internal and external audiencesManaged asset accounts for firm's directors

• 

  AXA Financial

  • Regional Director of Financial Planning

    • Jun 1999 - Aug 2000

    Conducted training classes for 330 associates in 10 cities in 12 weeks on wrap-fee account salesCo-facilitated consultative sales, financial planning process, financial product training for 200 associates in 6 weeks, certifyng them to provide fee-based financial planningResponsible for transition...

• 

  Prudential Financial

  • Field Director/Sales Manager

    • Jan 1998 - Jul 1999

    Created training materials, conducted training classes and skills workshops using Values Based SellingIncreased sales of financial plans and increased product sales exceeding goalsTaught Chartered Mutual Fund Counselor (CMFC) program resulting in high pass rateRecruited, trained, and mentored new...

• 

  Wheat First Union

  • Client Account Manager

    • 1996 - 1997

    Marketed sophisticaled financial products to wealthy clientsLead the office with $2 million under management in 6 monthsCompared existing investment strategy vs. recommended asset allocation to prospects, gathering assets for investment through consultative selling and seminars

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  Lerner Financial Network

  • Financial and Estate Planner/Branch Manager

    • Oct 1987 - Oct 1996

    Responsible for all operations involved in financial planning practice; bulit business through seminars, workshops, written articles, and referrals from clients and centered of influenceWon sales contests and trips to England, Mexico, and ArizonaSuccessfully passed all branch office compliance au...