Resumes
Resumes
Owner
View pageLocation:
Austin, TX
Industry:
Financial Services
Work:
Local Moving Company May 2014 - Apr 2016
Owner and Managing Member
One Advocate Group Feb 2014 - Oct 2014
Operations
Lifetime Strategies Group Jan 2014 - Feb 2014
Operations
Red Oak Compliance Solutions Oct 2010 - Nov 2013
Senior Consultant
Oct 2010 - Nov 2013
Owner
Owner and Managing Member
One Advocate Group Feb 2014 - Oct 2014
Operations
Lifetime Strategies Group Jan 2014 - Feb 2014
Operations
Red Oak Compliance Solutions Oct 2010 - Nov 2013
Senior Consultant
Oct 2010 - Nov 2013
Owner
Education:
The American College of Financial Services 2006
Texas State University 1997 - 1999
University of Hawaii at Manoa 1996 - 1997
The American College
Texas State University 1997 - 1999
University of Hawaii at Manoa 1996 - 1997
The American College
Skills:
Finra
Series 7
Securities
Series 24
Compliance
Registered Investment Advisor
Wealth Management
Series 63
Investment Advisory
Risk Management
Banking
Aml
Mutual Funds
Alternative Investments
Management
Series 7
Securities
Series 24
Compliance
Registered Investment Advisor
Wealth Management
Series 63
Investment Advisory
Risk Management
Banking
Aml
Mutual Funds
Alternative Investments
Management
Director, Investment Advisory Compliance At Nfp Securities
View pagePosition:
Director, Investment Advisory Compliance at NFP Securities
Location:
Austin, Texas Area
Industry:
Financial Services
Work:
NFP Securities since Jul 2008
Director, Investment Advisory Compliance
NFP Securities Jan 2008 - Jul 2008
Director Sales Supervision
NFP Jan 2007 - Dec 2007
Manager, Sales Supervision
NFP Securities, Inc. Jan 2005 - Jan 2007
Sales Supervisor
NFP Securities 2002 - Dec 2004
Manger, Direct Business Operations
Director, Investment Advisory Compliance
NFP Securities Jan 2008 - Jul 2008
Director Sales Supervision
NFP Jan 2007 - Dec 2007
Manager, Sales Supervision
NFP Securities, Inc. Jan 2005 - Jan 2007
Sales Supervisor
NFP Securities 2002 - Dec 2004
Manger, Direct Business Operations
Education:
Texas State University-San Marcos 1997 - 1999
University of Hawaii at Manoa 1996 - 1997
The American College 2006
University of Hawaii at Manoa 1996 - 1997
The American College 2006