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Online Resumes with "Broadview Clearing Systems"
Retail Investment Branch manager- Highly Licensed- 10 Years Experience
I'm a Financial Professional with 10 years experience in the Retail Investment Industry. I have extensive experience with Securities regulation, compliance ,and supervision. As well as Investment Operations and Financial Customer service dealing with both Financial Advisers and Clients. I hold FINRA Series 7, 63, 24,4, 9 & 10. I also Hold Insurance Life , Health, and Casualty Certifications.
Ideal Companies: Charles Schwab, Morgan Stanley, AIG, Goldman Sachs, Edward Jones, JP Morgan Chase, BOA/Merrill Lynch, Ect.
Tags for this Online Resume: Operations Manager, Branch Manager, Series 7, Series 24, Compliance, Supervisor, Series 4, Series 63, Series 9, Investment Operations
