Principal Financial Securities
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Principal Financial Securities Employees
Ada County, Idaho November 2011 - 2015
Penson Financial Services December 2007 - December 2011
First Southwest Company July 1998 - October 2007
Principal Financial Securities 1995 - 1998
Household International 1989 - 1994
Skills
Management, Disaster Recovery, Vendor Management, Process Improvement, IT Strategy, Business Analysis, Budgets, SDLC, Data Center, Project Management, Security, Integration, IT Management, System Administration, Databases, SharePoint, Enterprise Architecture, Program Management
Education
Baylor University - Hankamer School of Business 1999 — 2001
Master of Business Administration (M.B.A.), Business, 4.0 GPA
Southwestern University 1982 — 1989
Bachelor of Arts (B.A.), Business
Wells Fargo Advisors, LLC September 2013 - Present
Wells Fargo Advisors 2008 - September 2013
Wells Fargo Advisors 2007 - 2008
Wachovia Securities 2006 - 2007
Wachovia Securities 1997 - 2006
Principal Financial Securities 1995 - 1996
Education
College of Lake County
Diploma, Accounting/Payroll
NEXT Financial Group, Inc. February 2005 - Present
Raymond James Financial Services, Inc. July 1997 - January 2005
PaineWebber April 1995 - June 1997
Principal Financial Securities January 1992 - April 1995
Texas Commerce Bank-McAllen Texas 1985 - 1990
Skills
Investments, Mutual Funds, Retirement Planning, Series 7, Investment Advisory, Asset Allocation, Wealth Management, Asset Managment, Securities, Portfolio Management, Investment Strategies, Series 63, Strategic Financial..., Retirement, 401k, Series 24, Life & Health Insurance..., ETFs, Variable Annuities, Life Insurance, Disability Insurance, IRAs, 401k Rollovers, Separately Managed..., Wealth Management..., Financial Planners, Wealth, Term Life Insurance, Health Insurance, Equities, Roth IRA, Fixed Income, Employee Benefits, 529 Plans, Asset Management, Financial Advisory, Fixed Annuities, Series 6, Uniform Combined State...
Education
The University of Texas-Pan American 1980 — 1985
Bachelor of Business Administration (B.B.A.), Business Administration and Management, General
Mission High School 1972 — 1976
Graduate, General
UnitedHealth Group June 2008 - Present
Ceridian December 2007 - June 2008
Fox-1 Resources September 2007 - November 2007
Sprint Nextel February 2000 - August 2007
GE Capital IT Solutions November 1998 - February 2000
Dain Rauscher December 1996 - June 1998
Principal Financial Securities October 1995 - December 1996
Murphy Warehouse in Southeast Minneapolis August 1994 - October 1995
Skills
PeopleSoft, General Ledger, Account Reconciliation, Access, SOX, Essbase, BlackLine, Visio, Oracle, Excel, Government, Payroll, Benefits, Options, Risk Management, Telecommunications, Insurance, Legal Issues, Mergers & Acquisitions, Auditing, Financial Analysis, Process Improvement, Budgets, Accounts Receivable, SAP, Analysis, Journal Entries, Variance Analysis, Accounts Payable, Sarbanes-Oxley Act, Accounting, Fixed Assets, Forecasting, Management, Employee Benefits, Managerial Finance, Internal Audit, Microsoft Excel, Bank Reconciliation, Invoicing, Accruals, Financial Reporting, Internal Controls, Cost Accounting
Education
University of Minnesota - Carlson School of Management 1990 — 1994
BS in Business, Accounting Emphasis
RBC Wealth Management January 2012 - Present
Ameriprise Advisor Services Inc. November 2008 - January 2012
H&R Block Financial Advisors November 2004 - November 2008
Oppenheimer & Co., Inc. September 1996 - November 2004
Principal Financial Securities April 1991 - September 1996
Prudential Securities February 1981 - April 1991
Skills
Portfolio Management, Retirement Planning, Estate Planning, Technical Analysis
Education
The College for Financial Planning 2011 — 2011
APMA, Accredited Portfolio Management Advisor, Portfolio Management and Construction
The College for Financial Planning 1996 — 1996
AAMS, Accredited Asset Management Specialist, Asset Management
Mercer University 1970 — 1974
B.A., Philosophy
Fire Solutions, Inc. - Finance Insurance Regulation Education April 2013 - Present
Financial Industry Regulatory Authority May 2011 - Present
RBC Wealth Management May 1997 - February 2001
Principal Financial Securities October 1996 - April 1997
Piper Jaffray August 1995 - October 1996
Skills
Securities Regulation, Securities, FINRA, SEC, Series 24, Series 7, Mutual Funds
Education
Southern Methodist University
Bachelor of Science, Political Science
Southern Methodist University Dedman School of Law
Juris Doctorate
. 1980 - Present
APS Investment Services, Inc. January 2010 - December 2010
Tejas Securities Group, Inc. November 1998 - January 2007
Financial Industry Regulatory Authority "FINRA" January 1996 - November 1998
Principal Financial Securities March 1988 - January 1996
Education
Texas Tech University
Bachelor of Arts (BA), Economics, Political Science
Mattei's Garage, LLC June 2011 - Present
Duncan-Williams May 2009 - May 2011
Banc of America Investments December 2007 - March 2009
FTN Midwest June 2001 - September 2007
Suntrust Equitable 1998 - 2001
Principal Financial Securities February 1994 - December 1997
Southwest Securities 1992 - 1994
First Tennessee Bank 1988 - 1990
Morgan Keegan September 1986 - August 1988
Skills
Series 7
Education
Southern Methodist University - Cox School of Business 1990 — 1991
MBA
Haslam College of Business at the University of Tennessee 1982 — 1986
BS, Finance
Christian Brothers High School 1977 — 1982
ZeOmega April 2013 - January 2015
EmergiData October 2012 - April 2013
Omnicom Management Services April 2011 - September 2012
Acton School of Business May 2009 - May 2010
EmergiData July 2007 - May 2009
EmergiData July 2007 - May 2009
Omnicom Management Services July 2000 - June 2007
First Southwest Company December 1998 - April 2000
MCI February 1998 - November 1998
Principal Financial Securities 1997 - 1998
Skills
Project Management, Management, Opportunity Analysis, Business Plan..., Team Building, Communication, IT Strategy, Network Administration, Network Design, Sales Engineering, Entrepreneurship, Business Development
Education
Acton School of Business 2009 — 2010
MBA, Entrepreneurship
Southwestern University 1990 — 1994
Bachelor of Arts (BA), Mathematics
Robert E Lee High School 1986 — 1990
Center for State and Local Finance at the Andrew Young School of Policy Studies August 2011 - Present
Galveston County, Texas October 2009 - February 2012
Galveston County, Texas October 2004 - September 2009
Galveston County, Texas October 1999 - September 2004
Galveston County, Texas January 1998 - September 1999
Universal Computer Services January 1997 - January 1998
Principal Financial Securities August 1995 - September 1996
Baxter Healthcare November 1994 - June 1995
Chicago Board of Trade May 1994 - November 1994
Cargill July 1990 - May 1994
Skills
Policy, Public Speaking, Government, Research, Budgets, Customer Service, Policy Analysis, Program Management, Microsoft Office, Leadership, Nonprofits, Management, Program Evaluation, Grants, Finance, Trading
Education
University of Houston-Clear Lake 2006 — 2010
MS, Finance
University of Houston-Clear Lake 2006 — 2010
MBA, Business Admin - HR Concentration
Galveston College 2001 — 2004
AAS, Accounting
Stanford University 1986 — 1990
BA, Economics
Georgia State University - Andrew Young School of Policy Studies
Public Finance and Budgetin
New York Lyric Opera March 2015 - Present
Model Quality Introductions 2001 - 2005
Mercury Opera 1999 - 2000
Bruckmann, Rosser, Sherrill & Co. 1997 - 2000
Principal Financial Securities 1992 - 1997
Skills
Opera Singer, Musical Theatre, Acting, Creative Writing, Technical Writing, Matchmaking
Education
Abilene Christian University
Bachelor's Degree, Acting, Musical Theatre, Voice
Florida State University's Asolo Conservatory in Sarasota, FL
Master's Degree, Acting
Putnam City Highschool
High School
NetApp May 2015 - Present
Dell 2001 - April 2015
Dell 1998 - 2001
Dell 1995 - 1998
Principal Financial Securities 1993 - 1994
Skills
Solution Selling, SaaS, Enterprise Software, Channel, Salesforce.com, Cloud Computing, Channel Partners, Storage, Solution Architecture, Vendor Management, Disaster Recovery, Partner Management, Business Development, Virtualization, Software Industry, Demand Generation, Pre-sales, Business Alliances, Strategic Partnerships, Data Center, Managed Services, Sales Enablement
Education
The University of Texas at Austin 1991 — 1993
BBA
Juncture Wealth Strategies, LLC July 2015 - Present
Wells Fargo April 2002 - June 2015
LeMaster & Daniels PLLC now CliftonLarsonAllen LLP January 1999 - January 2002
Merrill Lynch January 1997 - January 1999
Principal Financial Securities 1994 - 1996
Skills
Portfolio Management, Investments, Equities, Investment Strategies, Mutual Funds, Financial Analysis, Asset Management, Investment Management, Valuation, Hedge Funds, Alternative Investments, Financial Markets, Risk Management, Securities, Asset Allocation, Financial Services, Wealth Management, Bonds, Finance, Hedging, Financial Risk, Strategic Financial..., Economics
Education
Gonzaga University - School of Business Administration 1998 — 2000
MBA, Accounting/Finance
Brigham Young University 1988 — 1994
BS, Finance
Guggenheim Investments February 2012 - Present
RydexSGI September 2009 - February 2012
Rydex Investments July 2004 - September 2009
Rydex Investments October 2002 - July 2004
Applied Predictive Technologies September 2000 - September 2002
State Street Research July 1998 - September 2000
Principal Financial Securities May 1996 - July 1998
Sutro & Co. June 1987 - May 1996
Skills
E-commerce, Instructional Design, Distance Education, Marketing Strategy, Budgeting, Business Analysis, Business Process
Education
The University of Dallas
MBA
University of the Pacific
BA
Russell Rhodes Gifts LLC 2010 - Present
BenefitMall 2011 - 2012
BenefitMall 2009 - 2009
Cubic Energy, Inc. 2007 - 2009
BenefitMall 2000 - 2006
Aegis Communications Group, Inc. 1998 - 2000
Principal Financial Securities 1995 - 1998
Electronic Data Systems (EDS) 1988 - 1995
Skills
Budgeting, Forecasting, Analysis, Negotiation, Planning, Venture Capital, Mergers, Private Equity, Investor Relations, Strategic Planning, Financial Reporting, Contract Negotiation, Financial Analysis, Due Diligence, Corporate Finance, Business Planning, Financial Modeling, Problem Solving, IPO, Restructuring, P&L, Start-ups, Cash Flow, Pricing, Internal Controls, SOX, Valuation, SEC reporting, Investment Banking, Financial Planning, Financial Management, Business Strategy, Business Valuation, Strategy Development, Competitive Analysis, Management Consulting, P&L Management, Contract Negotiations, Corporate Development, Business Analysis, Variance Analysis, Business Modeling, Excel, Acquisition Integration, Finance, Cash Management, Asset Managment, Executive Management, Capital Budgeting, Acquisitions
Education
Southern Methodist University - Cox School of Business
Graduate Finance Certificate Program, Mergers & Acquisitions
Southern Methodist University - Cox School of Business 1986 — 1987
M.B.A., Finance
University of Virginia 1982 — 1986
B.A., Economics
St. Mark's School of Texas 1972 — 1982
Vista Wealth Management July 2002 - Present
Wachovia Securities Financial Network April 2000 - June 2002
First Union October 1998 - March 2000
Everen Securities August 1996 - September 1998
Principal Financial Securities July 1994 - July 1996
Piper Jaffray May 1983 - June 1994
Ecolab July 1979 - April 1983
Edward Jones February 1976 - May 1977
Skills
Investments, Asset Allocation, Retirement Planning, 401 (k) Rollovers, Estate Investment..., Business Owner Planning, Wealth Preservation..., Multi-generational..., Strategic Planning, Mutual Funds, Insurance, Annuities
Education
Washington University in St. Louis 1975 — 1977
MBA, Finance, Accounting
Ripon College 1971 — 1975
BA, Chemistry, Economics
Precision Advisors Group 2004 - Present
Landmarc Capital and Investment June 2007 - August 2008
Piper Jaffray 2001 - 2004
Principal Financial Securities 1998 - 2001
Paine Webber 1994 - 1998
Prudential Securities 1991 - 1994
Merrill Lynch 1987 - 1991
Skills
Private Equity, Alternative Investments, Real Estate, Financial Analysis, Investments, Venture Capital, Business Strategy, New Business Development, Fundraising, Investment Banking, Management Consulting, Entrepreneurship, Corporate Development, Mergers & Acquisitions, Capital, Start-ups, Commercial Real Estate, Executive Management, Investment Management, Finance, Capital Markets, Funding, Asset Allocation, Mutual Funds, Asset Management, Investor Relations, Financial Advisory, Investment Strategies, Due Diligence, Financial Structuring, Portfolio Management, Hedge Funds, Valuation, Equities, Strategic Financial..., Emerging Markets, Securities, Structured Finance, IPO, Investment Advisory, Institutional..., Bonds, Equity Research, Trading, Series 7, ETFs, Financial Services, Financial Planning, Financial Modeling
Education
Arizona State University, W. P. Carey School of Business 1983 — 1985
BS, Finance
Hong Kong International School 1977 — 1980
HS Diploma, General
Pall Mall Art Advisors May 2015 - Present
Bucks County Playhouse April 2012 - May 2015
Signature Theatre Company November 2007 - April 2012
Manhattan Theatre Source February 2000 - November 2007
Comedy Central November 1998 - December 1999
Bankers Trust Company October 1997 - January 1999
PRINCIPAL FINANCIAL SECURITIES May 1996 - September 1997
Windridge Apartments August 1995 - May 1996
Gentry's Walk Apartments October 1994 - August 1995
Skills
Theatre, Production, Arts, Administration, Art, Corporate Finance, Operations Management, HR Policies, IT Management, Budget Management, System Administration, Budgets, Stage, Arts Administration, Entertainment, Performing Arts, Stage Management, Acting, Screenwriting, Film, Film Production, Festivals, Musical Theatre, Creative Writing, Directing, Drama, Marketing, Dance, Plays, Theatrical Production, Singing, Production Managment, Stage Lighting, Voice Acting, Music, Television, Production Management
Education
The University of Texas at Austin 1985 — 1992
B.A, Fine Arts
The University of Texas at Austin 1985 — 1992
Drama and Dramatics/Theatre Arts, General
Career Step October 2012 - Present
American InterContinental University - a Career Education Company March 2010 - October 2012
Taleo October 2008 - March 2010
ThinkEquity Partners March 2001 - October 2008
Craig-Hallum Capital Group February 1998 - March 2001
Principal Financial Securities June 1995 - January 1998
Skills
Operations Management, Employee Management, Corporate Finance, Venture Capital, Equity Research, Private Equity, Strategic Planning, Business Operations, CFA, Education Management, Educational Technology, Talent Management, Human Capital Management, Operations, Mergers, Financial Planning, Financial Analysis, Business Strategy, Enterprise Software, Strategic Financial..., Strategy, Due Diligence, Educational Leadership, Personnel Management, Chartered Financial..., Program Management, Entrepreneurship, Start-ups, Leadership, Management, Restructuring, Investments, Finance, Mergers & Acquisitions, Performance Management, Analysis, Financial Modeling, Forecasting, Corporate Development, Human Resources, Budgets, Strategic Partnerships
Education
Augsburg College 1991 — 1995
BA
1st Global March 2014 - Present
Williams Financial Group April 2013 - February 2014
Blue River Partners, LLC February 2012 - March 2013
1st Global May 2008 - February 2012
1st Global 2003 - 2008
Hulse Stucki, LLC 2001 - 2003
Principal Financial Securities 1994 - 1998
Skills
FINRA, Securities, Financial Advisory, Series 24, Investment Advisory, Securities Regulation, Mutual Funds, Hedge Funds
Education
Texas Wesleyan University School of Law 1998 — 2000
Verizon April 2001 - April 2003
Gordon Lowe & Coleman June 1995 - June 2002
Principal Financial Securities January 1993 - March 1995
Marathon Oil Company September 1990 - June 1992
Texas Oil & Gas Corp February 1978 - September 1990
University of Mississippi August 1970 - February 1978
Texaco Inc June 1966 - August 1970
Education
University of Mississippi 1964 — 1966
BS, Math, Accounting
EXE Technologies May 1998 - October 2000
Principal Financial Securities October 1996 - May 1998
NFL Players Association July 1994 - October 1996
Skills
Event Planning, Public Relations
Education
JJ Pearce
The University of Texas at Austin
Economics
University of Oklahoma
BS, Economics
Outlook Financial Group July 2011 - Present
Sanders Morris Harris July 2006 - July 2011
Sanders Morris Harris May 2002 - July 2006
Principal Financial Securities 1996 - 1998
Prudntial Securities 1991 - 1996
Exxon Co USA 1974 - 1978
Education
United States Military Academy at West Point 1965 — 1969
BS, Math, Engineering
Boston University Questrom School of Business 1970 — 1972
MSBA, Business/ Finance
Ameriprise Financial Services, Inc. 2008 - Present
H&R Block Financial Advisors 2005 - 2008
Oppenheimer & Co., Inc. 1997 - 2005
Principal Financial Securities 1992 - 1997
Education
Missouri State University 1989 — 1991
Bachelor of Science (B.S.), Finance/ Financial Management
University of Missouri-Kansas City 1987 — 1989
Finance
AIC Ventures February 2005 - Present
Sarofim Realty Advisors June 2002 - February 2005
Joe Foster Company June 2001 - May 2002
American Industrial Properties March 1998 - May 2001
Principal Financial Securities 1997 - 1998
Patriot American Management and Leasing Corporation 1993 - 1997
Skills
Disposition, Leases, Real Estate Transactions, Real Estate Development, Real Estate, Financial Analysis, Asset Management, Investment Properties, Real Estate Financing, Commercial Real Estate, Due Diligence, Brokerage, Valuation, Acquisitions, Real Estate Economics, Dispositions
Education
University of Arkansas at Fayetteville
BSBA, Finance and Banking
University of Saint Thomas, Houston,Texas
Master of Business, Marketing Management
Southwest Securiteies February 2000 - July 2012
Principal Financial Securities January 1990 - June 1998
Education
Penn State University 1976 — 1980
Bachelor of Arts (B.A.), Speech Communications