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OWNER
Professional Summary

Highly skilled sales professional with 10 years of financial industry experience specializing in collaboration with RIA's. Experienced in building fixed income portfolios for institutional clients including banks, credit unions and non profit organizations as well as high net worth individuals, as well as institutional investment experience with School Districts, Hospitals, Credit Unions, Non-Profits IRS codes 401(a), 401(k), 403(b), 457 Government/Non-Government, Non-Qualified plans.

Core Qualifications
  • Successful track record of outstanding sales and service of institutional clients.
  • Diverse and highly skilled background in financial industry
  • Well versed in institutional platforms.
  • Strong knowledge of ERISA
  • Former compliance officer for broker/dealer with comprehensive understanding of the regulatory and compliance aspects of the industry.
  • Knowledge of IRS codes 401(a), 401(k), 403(b), 457 Government/Non-Government, Non-Qualified plans.
Experience
OwnerJan 2008
Warrior Wellness; LLC － Denver, CO
  • Proven track record of successful clients able to obtain their goals through proprietary wellness.programs.
  • Specialized in creating custom meal plans, supplement suggestions and exercise programs to help in the management of several mental disorders including PTSD, Depression, Addiction, (Alcoholism, prescription medications, etc.).
  • Eating Disorders, Obesity, Depression, etc.; Assessed clients' overall physical health through the creation of detailed proprietary surveys, comprehensive individual consultations, physical fitness assessments and body composition scale measurements, and review of medical history and records.
  • Researched and identified nutrition components of foods, diets and menu choices.
  • Recommended program improvements and creation of innovative programs and services.
  • Maintained up-to-date knowledge about the latest research and trends through extended education and professional development courses.
  • Continued regular contact and follow up sessions to maintain success of clients.
Investment ConsultantJan 2001 to Jan 2004
TD Waterhouse/TD Ameritrade － Los Angeles, CA
  • Consistently exceeded sales goals and ranked among top IC's in region and nation.
  • Analyzed financial information obtained from clients to determine strategies for meeting clients' financial objectives.
  • Reviewed clients' accounts and results regularly to determine whether life changes, economic developments or financial performance indicated a need for plan revision.
  • Handled day to day communications with clients and provided research and resolution to all inquiries, uncovered needs of client and promoted efficient use of products; consistently referred business to RIA's; ranked among highest in region for successful RIA referrals.
  • Collaborated consistently with RIA's for customer's best interest, increased overall annual branch sales.
  • Complied with regulatory requirements including Bank Secrecy Act, Anti-Money Laundering, OFAC, USA Patriot Act, Privacy Act and Community Reinvestment Act.
Financial PlannerJan 2001 to Jan 2004
AIG/VALIC/America General － Los Angeles, CA
  • Responsible for developing relationships with plan administrators to implement VALIC products as a part of benefits packages for employees; school districts, hospitals.
  • Presented and implemented 403(b) plans to school districts in the Los Angeles area.
  • Regularly presented to board members and teachers.
  • Analyzed financial information obtained from clients to determine strategies for meeting clients' financial objectives.
  • Reviewed clients' accounts and results regularly to determine whether life changes, economic developments or financial performance indicated a need for plan revision; created charts and graphs in order to illustrate daily, monthly and annual financial reports.
  • Assist existing & potential clients with employer sponsored plan enrollments.
  • Prepare & help clients to complete contracts & related product materials during the enrollment process.
  • Educate potential clients on product features.
  • Participate in firm or client sponsored events & deliver on-site education of the client's employer sponsored plan.
  • Build client and asset acquisition through referrals, prospecting, seminars, and networking.
  • Utilized financial planning tools to better understand clients' needs.
  • Continually exceed sales expectations.
  • Adhered to compliance standards.
Institutional Investment BrokerJan 1996 to Jan 2001
Wachovia Securities JW Genesis － Denver, CO
  • Built laddered bond portfolios for small and medium sized banks and credit unions as well as stock portfolios for high net worth clients.
  • Average account worth between 10 million and 100 million.
  • Interpreted data on price, yield, stability, future investment-risk trends, economic influences and other factors affecting investment programs.
  • Created charts and graphs to illustrate daily, monthly and annual financial reports.
  • Selected and maintained superior investment portfolios.
  • Monitored risk accounts on a weekly, monthly, quarterly and annual basis.
  • Met face to face with institutional clients around the country for portfolio reviews as well as audit preparation.
  • Regularly communicated with OSJ to stay in compliance with supervisory audits.
Education
Bachelor of Arts, PhilosophyBarnard College of Columbia University － New York, NY, USGPA: GPA: 3.9 Member National Deans' List

Member National Deans' List

Licenses

Colorado Life Insurance License 2014

FINRA Series 7, 63, 66 (expired)

Community Service
Family Tree Domestic Violence Symposium 2013 Family Tree, Volunteer Wounded Warrior Project, Contributor Veterans of America, Contributor Kids Creating Peace, Volunteer Wish of a Lifetime, Contributor Denver School of the Arts, Volunteer

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Resume Overview

Companies Worked For:

  • Warrior Wellness; LLC
  • TD Waterhouse/TD Ameritrade
  • AIG/VALIC/America General
  • Wachovia Securities JW Genesis

School Attended

  • Barnard College of Columbia University

Job Titles Held:

  • Owner
  • Investment Consultant
  • Financial Planner
  • Institutional Investment Broker

Degrees

  • Bachelor of Arts , Philosophy

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