Experience

SFA Partners

• United States
• Financial Services
• 1 - 100 Employee

• Transition Manager

  • Jan 2015 - Present



Resource Horizons Group

• Compliance/Securities Principal

  • Feb 2011 - Dec 2014



Citi Smith Barney

• Registered Sales Associate

  • Jan 2004 - May 2009

  Maintained and administered individual and corporate accounts for two investment teams with a focus on 401K plan administration. Responsible for set up and maintenance of plans for employer and employee accounts including account monitoring and reconciliation. Maintained and administered individual and corporate accounts for two investment teams with a focus on 401K plan administration. Responsible for set up and maintenance of plans for employer and employee accounts including account monitoring and reconciliation.



Raymond James Financial Services, Inc

• Branch Operations Manager

  • Jun 2000 - Jan 2004

  Assisted producing Manager/Financial Planner in the management and maintenance of $50,000,000.00 portfolio. Responsible for all branch operational and compliance issues. Supervised all activity in branch including daily trade activity, cash reports, all incoming/outgoing correspondence, payroll and office inventory. Prepare monthly compliance report/responsible for NASD audit



Bank of America Investment Services, Inc

• Registered Sales Associate

  • Jan 1997 - Jan 2000

  Effectively assisted in launching pilot programs with Private Bank working exclusively the bankshighest net-worth clients. Worked closely with Relationship Managers to customize extensivefinancial plans for these clients. Resulted in increase in revenues for our team of $350,000.00+annualized. Assisted in the management and full responsibility for the maintenance of a portfolioin excess of $1 billion. Effectively assisted in launching pilot programs with Private Bank working exclusively the bankshighest net-worth clients. Worked closely with Relationship Managers to customize extensivefinancial plans for these clients. Resulted in increase in revenues for our team of $350,000.00+annualized. Assisted in the management and full responsibility for the maintenance of a portfolioin excess of $1 billion.



PaineWebber, Inc

• Registered Sales Associate/Branch Technology Liaison

  • Jan 1994 - Jan 1997

  Set up and monitored investment managed accounts, working directly with money managers.Provided sales and marketing support for a team of brokers with portfolio in excess of $200,000,000.00.Provided branch technology support in software training, hardware upgrades and troubleshootingtechnology issues. Assisted branch manager with recruiting established producers as well as support staff. Set up and monitored investment managed accounts, working directly with money managers.Provided sales and marketing support for a team of brokers with portfolio in excess of $200,000,000.00.Provided branch technology support in software training, hardware upgrades and troubleshootingtechnology issues. Assisted branch manager with recruiting established producers as well as support staff.



Prudential Securities, Inc

• Sales Associate

  • Jan 1989 - Jan 1994

  Maintained and administered individual and corporate accounts for two investment advisors including account monitoring and reconciliation. Worked effectively as sales liaison between floor traders and commodity broker with emphasis in gold and bond markets. Maintained and administered individual and corporate accounts for two investment advisors including account monitoring and reconciliation. Worked effectively as sales liaison between floor traders and commodity broker with emphasis in gold and bond markets.



Robinson-Humphrey Company, Inc

• Sales Associate

  • Jan 1986 - Jan 1989

  Maintained and administered individual and corporate accounts for four investment advisors.Worked very closely with branch's only commodity broker. Broadcast live public serviceannouncement of daily financial report. Maintained and administered individual and corporate accounts for four investment advisors.Worked very closely with branch's only commodity broker. Broadcast live public serviceannouncement of daily financial report.