As a FINRA Series 24 General Securities Principal I've successfully managed Registered Investment Advisor programs and Office of Supervisory Jurisdiction (OSJ) activities and have a strong understanding of the industry's rigorous regulatory environment.The Managing Principal position requires a unique mix of sales, leadership, management and consulting abilities.I have built successful institutional and retail Retirement Planning, Investment Advice, and Field Sales teams. I am an experienced Registered Financial Consultant (RFC) practitioner, so I understand consultants and how to build systems to help them sell effectively, as well as how to relate to prospective clients of all walks of life and income levels with multiple and varied goals and objectives.
I am a highly accomplished and results-driven financial executive with over 30 years of successful new business development, competitive market-share expansion, and business leadership development.My experience has enabled me to leverage finely-honed interpersonal and time management skills to successfully manage accounts and increase market value, thereby achieving corporate as well as clients’ objectives.I am an astute communicator and presenter, adept at establishing rewarding relationships.
I would now like to channel my experience and energies in serving a new business venture.I have a combination of marketing, operations and technical expertise, along with demonstrated sales management success. I am willing and enthused to accept new responsibilities and challenges as well as learn new skills.I can define any given situation, analyze data appropriately, present suitable recommendations and monitor the results according to the expressed objectives.