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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.


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 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.

Work experience

Jan 2013Present

Equity and Commodity Trader


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 2007Dec 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 2007Dec 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 2004Apr 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 2003Sep 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.


Head Coach

Hays Legion Baseball




Regis University


Fort Hays State University


Barton County Community College


Life, Health, Variable Insurance

State of Colorado

Series 66


Series 53


Series 24


Series 7


Series 4