Purpose

My purpose in Life is to energize, connect, and inspire people to reach out to help other people both professionally and personally. I have a diverse experience in the financial services industry with a strong background in client relations, auditing and surveillance, regulatory law supervision, product and operational management, sales, software training, management, and compliance management training.

I am currently looking for an job opportunity that will lead into an exciting career choice.

Skills

Skills

Public Speaking

Computer Skills

Operating Systems Windows 2000, XP, Vista   Desktop Publishing Microsoft Publisher Adobe InDesign   Presentation Microsoft PowerPoint Macromedia Flash   Spreadsheet Microsoft Excel   Word Processing Microsoft Word Corel Word Perfect   Art & Graphics Adobe Illustrator Adobe Photoshop   Database/Statistics

Salesforce

SalesForce is a web-based software application for client contact management, online fundraising and donor management. It tracks donors, prospects, members, and alumni while managing gifts, pledges, and payments. An organization's data is stored and maintained remotely, and staff members interact with it through a web browser. www.salesforce.com

Work History

Work History
Jan 2013 - Present

Equity and Commodity Trader

Self-employed

Experienced investment professional with proven ability to manage equity and commodity portfolios, monitor and manage portfolio risk exposures, and develop investment strategies and policy guidelines for the family client relationships.

Dec 2007 - Dec 2012

Deputy Compliance Officer

Old Mutual Capital

Supervise registered personnel to strengthen the supervision procedures based on regulatory requirements.  Manage department staff members.  Develop and monitor the investment advisory compliance program, and ensure compliance with firm policy and procedures as well as regulatory rules and regulations. 

Apr 2007 - Dec 2007

Direct Report Supervisor

Securities America

Supervise the firm’s Midwest brokerage sales staff for more than 30 registered representatives and advisors.  Knowledge and key experience with life, fixed and variable securities, mutual funds, and general securities.  Communicate regularly with representatives regarding compliance regulations, coordinate with compliance supervision team on audits, serve as an expert resource on compliance questions and issues and documenting monthly activities and status of investigations. 

Sep 2004 - Apr 2007

Compliance Analyst

Jackson National

Supervise regional sales directors and internal and external wholesalers to strengthen the supervision procedures based on regulatory requirements.  Ensure representatives and departments are in compliance with firm policy and procedures as well as regulatory rules and regulations. 

Jul 2003 - Sep 2004

Director of Branch Operations

Main Street Securities

Manage the firm’s brokerage sales staff for 20 branches, and insurance sales for home office staff.  Manage department staff of 8 members.  Directly manage the registration department, review of blue sky laws, and handling of specific registration requirements for investment advisors.  Create and implement the RIA Compliance program for a start-up investment advisory firm.

1999 - 2004

Head Coach

Hays Legion Baseball

Education

Education
2003 - 2005

MBA

Regis University
1998 - 2000

Bachelor's

Fort Hays State University
1996 - 1998

Associate's

Barton County Community College

Certifications

Certifications

Life, Health, Variable Insurance

State of Colorado

Series 66

FINRA

Series 53

FINRA

Series 24

FINRA

Series 7

FINRA

Series 4

FINRA