Objective



To gain the position of Compliance Examiner.



Summary





7 + years working in the financial industry. Strong organizational, technical and interpersonal skills. Trustworthy, ethical, discreet and committed to superior customer service. Confident and poised in interactions with individuals at all levels. Efficient, analytical, detail-oriented, resourceful and able to multi-task effectively.


Employment

July, 1966 -  2024

The series 66 is the equivalent to taking both the Series 63 and Series 65.

Ability to work from home.
Ability to travel on a frequent basis, as needed.
Ability to meet deadlines in a paced environment.

Excellent written and verbal communication skills.
Proficient in Microsoft Word, Excel and PowerPoint.

December, 2008 -  Present
Financial Services Representative

Confidence in decision-making, analytical thinking and excellent interpersonal skills are necessary skills for a financial advisor.

I prospect for new clients and build personal relationships on trust and mutual respect .I counsel my clients on insurance and investment opportunities consistent with their needs, goals and risk tolerance, staying abreast of the compliance rules, financial markets, new investment strategies and investment vehicles.
Responsible for technology upgrade switch from CDS to SmartOffice, calendar management and scheduling, meetings, telephones, tracking progress of new business, communicating with company departments, running reports and a variety of tasks which come up.

November, 2006 -  August, 2008

Personal Financial Representative independent contractor
Working with insurance agents on client financial reviews, recommending and implementing solutions.

October, 2006 -  November, 2006
Customer Service Agent

Served clients in a client service call center environment.

July, 2004 -  June, 2006
Bruce Irby with Ameriprise Financial Advisor

Responsibilities included researching mutual funds and stocks and creating reports.
Utilized Foundation Tools, Investment View, Net Exchange Pro, Portfolio Management Tool and brokerage software, asset allocations, risk analysis, for compiling data into written financial plans for cash flow, retirement estate, tax accumulation and insurance needs.
Looked for opportunities to cross sell products which served the clients needs.

April, 2003 -  July, 2004
Financial Advisor

Partnered with Stephen Hepner in opening a branch office in Green Valley, AZ.
Responsible for day-to-day operations.
Implemented marketing campaigns : shareholder meetings ; presentations ; radio and newspaper ads ; placement of fish bowls ; letters ; calls ; seminars and workshops ; senior expo and home and garden shows.

April, 2002 -  February, 2003
Financial Advisor

Acquired Series 7, Series 66 and AZ Life and Health licenses.
Called prospects to offer financial consultations and offered new clients investment advice based on a financial plan showing their needs related to their goals.

March, 2000 -  June, 2002
Supervisor

Related policy procedures to employees regarding assessment testing for Florida State Educational exams.

Checked employee work and performance reviews.

September, 2001 -  March, 2002
English Teacher

Planned lessons and taught beginning through advanced language skills to non-English speaking business professionals.
Evaluated student progress, submitted reports recommending their next level of instruction.

September, 1999 -  June, 2000
to Professor

May, 1998 -  August, 1999
Cultural Exchange Program Intern

Overseas Training and Orientation Program Intern assisting in the cultural exchange activities for the visiting professors from Kirghizstan.

1997 -  1998
Treasurer and Delegate

Education