PROFESSIONAL SUMMARY LICENCES: FINRA Series 24, 7, 65, 63 and Arizona Life and Health Insurance Analytical and collaborative leader with vision to influence and effectively manage an organization with emphasis on financial results, regulatory adherence and operational efficiency. Diversified background in financial services industry with experience in sales and operations management and comprehensive knowledge and skills in multiple areas of securities industry including broker-dealer and RIA supervisory and principal oversight, regulatory governance (SEC & FINRA), and investment, estate and wealth planning strategies. Desire to find a position with a firm that can utilize my skills and experience to have a positive impact on the overall success of the company. Personal drive to continually learn and develop in all areas of finance with a focus on financial analysis and sales and operations management.

Highlights:

• Financial
• Sales
• Audit
• Compliance
• Insurance
• Management
• P&L
• Services
• Accounting
• Asset Gathering