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Online Resumes with "Registered Investment Advisor"



CERTIFIED FINANCIAL PLANNERā?¢ with 15 years experience providing objective advice and implementing solutions for affluent clients. Top performing advisor in balanced performance across banking, investments, and insurance. Proven record of developing loya

SUMMARY CERTIFIED FINANCIAL PLANNER? with 15 years experience providing objective advice and implementing solutions for affluent clients. Top performing advisor in balanced performance across banking, investments, and insurance. Proven record of developing loyal client relationships leading to high levels of client engagement.

Tags for this Online Resume: Certified Financial Planner, CFP, Investments, Insurance, Estate Planning, Trusts, Registered Investments Advisor, fiduciary, Financial, Planning, Sales, Networking, Referrals, Teller, Insurance, Deposits

Chief Financial Officer - 13 Years of Experience - Near 07452

AREAS OF EXPERTISE * * Brokerage Operations * Registered Investment Advisors - Asset Management and Wealth Advisors * Taxation * Regulatory Reporting: FINRA, SEC, NFA & CFTC * Internal Controls * Hedge Funds

Tags for this Online Resume: Accounting, Financial, Management, Asset Management, Capital markets, Cash Flow, Forecasting, Internal Controls, P&L, High Net Worth

Director - 20 Years of Experience - Near 55129

SUMMARY * 14 years of experience as a Financial Advisor and 9 years of Management experience. * Leader and Change Agent, particularly in the Financial Services Industry. * Successful Revenue Builder who can move the needle and grow a profitable business from the ground up. * Profoundly increased advisory assets at last employer from $750 million AUM (Assets under Management) to $3.4 billion AUM. As such top-line revenue gre...

Tags for this Online Resume: Management, Sales, Financial, Financial Services, Services, Training, Recruiting, RIA, SEC, Securities and Exchange Commission (SEC)

Organizational Development Specialist - 10 Years of Experience - Near 90046

Accomplishments Charles Schwab Inc. By truly partnering with stakeholders we accomplished a complete change in corporate culture and re-tooled their national sales force and support staff. With this initiative Schwab was finally able to achieve the #1 position in customer service (JD Powers), increase sales 27% + each year, increase employee engagement by 32%+. By aligning the new hire on-boarding program with corporate ini...

Tags for this Online Resume: Customer Service, Cyber Security, Diversity, Insurance, Integrate, Leadership, Training, Development, Learning and development, Sales Training, Chief people officer

Department Manager

Summary Related with customers and vendors to match industrial products to applications. Able to analyze deficiencies and propose solutions to enhance performance. Broad understanding applied to implement applications of industrial machinery. Initiated projects through to completion, utilizing various disciplines to achieve predetermined goals. Combining leadership skills with in-depth manufacturing experience, created acce...

Tags for this Online Resume: Documentation, Sales, Manufacturing, Distribution, Engineering, Industrial Engineering, Instrumentation, Inventory, Inventory Control, Packaging

Vice President

Accomplishments Guidance Software Inc. At GSI I defined and led the Sales Enablement training initiatives which led to the reversal of sliding stock prices and increased profit margins by 16% Re-tooled the on-boarding of professionals in a highly complex and technical environment and decreased time to productivity by 24+% and ramped up continuous career development Created cross enterprise collaboration to increase effectiv...

Tags for this Online Resume: Annuity, Buying, Complaints, Customer Service, Cyber, Cyber Security, Diversity, Insurance, Integrate, Its

Purchasing Agent

Summary Related with customers and vendors to match industrial products to applications. Able to analyze deficiencies and propose solutions to enhance performance. Broad understanding applied to implement applications of industrial machinery. Initiated projects through to completion, utilizing various disciplines to achieve predetermined goals. Combining leadership skills with in-depth manufacturing experience, created acce...

Tags for this Online Resume: Documentation, Sales, Manufacturing, Distribution, Engineering, Industrial Engineering, Instrumentation, Inventory, Inventory Control, Packaging

Chief Financial Officer

QUALIFICATIONS: * Over 14 years of investment experience and business experience Additional Qualifications: Passed CFA Level 1 exam Passed Series 7, 63, and 65 exams Registered Investment Advisor in the State of Florida Proficient in Bloomberg and multiple trading systems Proficient in MS Office. .

Tags for this Online Resume: Back Office, High Net Worth, Cash Flow, Transmissions, Interest Rate, Equity, Bloomberg, CFA, Economic Trends, Hedge Fund

Accountant

SUMMARY OF QUALIFICATIONS ROCS Consulting Managing Director, 2000 - Present Proprietor of an Independent Consulting practice. The firm specializes in Regulatory, Compliance and Operational consulting for the securities and banking industry. ROCS Consulting provides assistance to Broker Dealers, Registered Investment Advisors, Banks, Trust Companies, Insurance Companies, Investment Companies, Bank Securities Dealers and Tran...

Tags for this Online Resume: Accounting, Back Office, Banking Industry, Capital markets, Complaints, Consulting, Derivatives, Equity, Financial, Financial Reporting

Accountant - 10 Years of Experience - Near 33756

PROFILE Disciplined, energetic professional with superior organizational and prioritization skills who will research and review to resolve a problem and/or to improve efficiency. Able to function independently, to multitask, and to maintain confidentiality as so to promote success and profitability.

Tags for this Online Resume: Journal Entries, Benefits, Acquisitions, Balance, Balance Sheet, Corporate Accounts, Data Analysis, Health and Welfare, Mergers, Packaging