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Online Resumes with "Registered Principal"



Regional Vice President-Registered Principal

An atmosphere that allows me to build strong relationships to best serve my companies clients.

Ideal Companies: Wachovia/Wells Fargo

Financial Advisor

To continue my career in the financial services industry.

Tags for this Online Resume: fully licensed, 16 years of experience, registered principal, willing to travel, respected

OSJ/Registered Principal

OSJ, Compliance, Back Office Principal position with strong technical and training skills, as well as reporting. Seeking a career position with a stable organization.

Tags for this Online Resume: OSJ, Investments, Manager, Principal, Wealth Management, Compliance

Financial Manager, Branch or Department

Tags for this Online Resume: compliance, insurance, sales, supervision, registered principal, operations

Fixed Income, Compliance, Trading

Seeking an opportunity that will utilize my unique background to increase profits and drive productivity. Series 24 registered principal with 20 years of financial experience in trading, compliance, sales, marketing, risk management, retirement solutions, market making, best execution, business continuity, supply chain management and operations. Expertise encompasses several market sectors such as treasuries, corporates,...

Tags for this Online Resume: fixed income, compliance, trading, trade support, operations

Vice President Marketing -- JJB Hilliard WL Lyons

I have a background in Management (over 10 years in both Union and Non Union environments ). I also transitioned into Investments/Stockbroker and rose to the level of Vice President Marketing. I was a mentor to new employees, hiring and training new employees, and was the Registered Principal for the firm at the branch office in Zanesville, Ohio. In addition served as Mayor of Roseville, Ohio. Extraordinary skill sets a...

Experienced Registered Principal

I am an experienced Registered Principal with 18 years of experience in sales, compliance and the training of sales teams.

Tags for this Online Resume: Registered Principal, Compliance, Wholesaler, Trainer, Manager

Controls & Compliance Manager, Annapolis, MD

Utilize my background and experience in operations and compliance oversight and supervision in the investment and insurance industry.

Tags for this Online Resume: investments, securities, operations, oversight, FINRA, registered principal

Insurance Sales Manager

Tags for this Online Resume: Sales, Sales Reports, HR, Human Resources, Medicare, Payroll, sheets, Insurance, Property and Casualty Insurance, Real Estate