Resumes
Resumes
Supervision Specialist And Sales Supervision
View pageLocation:
Denver, CO
Industry:
Financial Services
Work:
Cetera Advisors LLC - Greater Denver Area since Jun 2013
OSJ Supervision Specialist
MassMutual Financial Group - Metairie, Louisiana Jan 2012 - Jun 2013
ASO/Compliance Officer
Iberia Financial Services Sep 2009 - Jan 2012
Compliance Coordinator
MassMutual Financial Group Aug 2008 - May 2009
Financial Services Representative
OSJ Supervision Specialist
MassMutual Financial Group - Metairie, Louisiana Jan 2012 - Jun 2013
ASO/Compliance Officer
Iberia Financial Services Sep 2009 - Jan 2012
Compliance Coordinator
MassMutual Financial Group Aug 2008 - May 2009
Financial Services Representative
Education:
University of Louisiana at Lafayette 2002 - 2007
B.S. in Business Administration, Finance, Insurance and Risk Management
B.S. in Business Administration, Finance, Insurance and Risk Management
Agency Supervisory Officer At Mass Mutual
View pagePosition:
ASO/Compliance Officer at MassMutual Financial Group
Location:
Greater New Orleans Area
Industry:
Financial Services
Work:
MassMutual Financial Group - Metairie, Louisiana since Jan 2012
ASO/Compliance Officer
Iberia Financial Services Sep 2009 - Jan 2012
Compliance Coordinator
MassMutual Financial Group Aug 2008 - May 2009
Financial Services Representative
ASO/Compliance Officer
Iberia Financial Services Sep 2009 - Jan 2012
Compliance Coordinator
MassMutual Financial Group Aug 2008 - May 2009
Financial Services Representative
Education:
University of Louisiana at Lafayette 2002 - 2007
B.S. in Business Administration, Finance, Insurance and Risk Management
B.S. in Business Administration, Finance, Insurance and Risk Management
Skills:
Securities
Finance
Marketing
Insurance
Risk Management
Investments
Fixed Annuities
Retirement
Finance
Marketing
Insurance
Risk Management
Investments
Fixed Annuities
Retirement
Certifications:
Series 53 Municipal Securities Principal, FINRA
Series 24 General Securities Principal, FINRA
Series 7 General Securities Representative, FINRA
Series 66 Uniform Combined State Law Exam, FINRA
Louisiana Life Health and Accidental License, Louisiana Department of Insurance
Series 6 Investment Company Products/Variable Contracts Limited Representative, FINRA
Series 24 General Securities Principal, FINRA
Series 7 General Securities Representative, FINRA
Series 66 Uniform Combined State Law Exam, FINRA
Louisiana Life Health and Accidental License, Louisiana Department of Insurance
Series 6 Investment Company Products/Variable Contracts Limited Representative, FINRA
Brian Neustrom Denver, CO
View pageWork:
Cetera Advisors
Jun 2013 to 2000
Alternative Investment Supervision Analyst
MassMutual Financial Group
Jan 2012 to 2000
Agency Supervisory Officer
Iberia Financial Services
Lafayette, LA
Sep 2009 to Jan 2012
Compliance Coordinator
MassMutual Financial Group
Lafayette, LA
Aug 2008 to May 2009
Financial Services Representative
Jun 2013 to 2000
Alternative Investment Supervision Analyst
MassMutual Financial Group
Jan 2012 to 2000
Agency Supervisory Officer
Iberia Financial Services
Lafayette, LA
Sep 2009 to Jan 2012
Compliance Coordinator
MassMutual Financial Group
Lafayette, LA
Aug 2008 to May 2009
Financial Services Representative
Education:
University of Louisiana at Lafayette
Lafayette, LA
2007
Bachelor of Science Business Administration in Finance, Insurance and Risk Management
Lafayette, LA
2007
Bachelor of Science Business Administration in Finance, Insurance and Risk Management
Skills:
-Microsoft Windows Word, Excel, Access, PowerPoint, Outlook -Pershing NetX360 -AdvisorMail -Orchestria Email Surveillance -Sungard Personal Trading Assistant -Sungard Protegent Surveillance Trade System -ComplianceMAX Advertising/Complaint Review System