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Work Background
LPL FinancialAVP Process Engineer
Oct. 2023
LPL FinancialFinancial Services Manager
Mar. 2022 - Oct. 2023
LPL FinancialSupervisory Principal, Complex Products
Jul. 2015 - Sep. 2021
LPL FinancialSr. Supervisory Principal
Jun. 2015 - Mar. 2022Syracuse, NY
Cadaret GrantVariable Annuity Analyst
Jul. 2012 - Jun. 2015Syracuse, NYProvide Principal and/or secondary review on variable annuity applications for suitability. Provide training and assistance to advisors and support teams on required documentation and other information necessary to complete variable annuity applications in good order. Create and present power point and website demonstrations, as well as host webinar training sessions to enhance understanding and simplify the annuity application process. Research and provide information to advisors detailing product and benefit information for them to share with their clients.
RBC Wealth ManagementSr. Registered Client Associate
Sep. 2010 - Jul. 2012Provided assistance to up to 6 advisors in preparing any documentation needed for client meetings including account reviews and recommendations. Assisted in the transition of 2 advisors including account opening, and necessary forms to transfer assets from various financial institutions, opening over 100 accounts in a 1 month period. Helped to prepare a Request for Proposal on an 18 million dollar retirement plan, as well as the quarterly reporting on a 9 million dollar account held. Placed trades, assisted with client service calls and daily office tasks as well.
Ameriprise Financial 2005 - 2010Compliance Supervisor
Jun. 2005 - May. 2010Responsible of supervision of sales practices and regulatory adherence of 50+ Registered Representatives
Investigated an prepared responses to client complaints, and internal reviews of questionable sales practices
Conducted annual compliance interviews to educate and ensure compliance with regulations
Created and implemented a training program and communication plan to ensure timely information sharing
Reviewed daily, weekly and monthly trend reports to identify potential issues within the Market Group
TD Waterhouse Investor ServicesInvestment Consultant
Jan. 2000 - Jan. 2004Top producer for Syracuse office in asset and account acquistion 10 consecutive quarters
Mediated amicable solutions to client issues while supporting the firm's interests using profitability models
Maintained branch compliance standards and records
Designed and executed "Best Practice" sharing amongst the market group sales force
Led the development of team members compliance training and portfolio design programs and tools
Bank of AmericaBranch Manager
Jan. 1994 - Jan. 2000Responsible for professional development, cross training, and client service improvement for team
Facilitated transition of NatWest and Bank Boston into the Bank of America business platform
Controlled expenses within the branch to maximize efficiency
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