UnionBanc Investment Services
Industry: Company
DescriptionParent organization: Union Bank Subsidiary: Unionbanc Investment Services, Llc, Asset Management Arm
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UnionBanc Investment Services Employees
Stratos Wealth Partners September 2014 - Present
Wells Fargo Advisors, LLC March 2007 - September 2014
UnionBanc Investment Services January 2005 - March 2007
USBancorp Investments July 2000 - November 2004
Skills
Investments, Retirement, Finance, Investment Strategies, Retirement Planning, Series 7, Insurance, Wealth Management, Asset Allocation, Mutual Funds
Education
Loyola Marymount University 1994 — 1996
Bachelor of Arts (B.A.), Magna Cum Laude, History
Secure Investment Management, LLC: J.D. Mellberg Financial, LLC November 2014 - Present
Annexus Group January 2014 - November 2014
Protective Wealth Management May 2013 - January 2014
J.D. Mellberg Financial, LLC ; Secure Investment Management, LLC January 2013 - May 2013
Hardin Compliance Consulting, LLC February 2012 - January 2013
INFINET Securities June 2011 - February 2012
First Tennessee Bank August 2006 - October 2009
UnionBanc Investment Services 1999 - 2006
Washinton Mutual Bank 1997 - 1999
PNC Brokerage 1996 - 1997
Skills
Portfolio Management, Banking, Estate Planning, Securities, Investment Strategies, Financial Risk, Equities, Uniform Combined State..., Capital Markets, Pensions, Hedge Funds, Mergers & Acquisitions, Relationship Management, Investment Management, Finance, Certified Financial..., Due Diligence, Trading, Operational Risk..., Compliance
Education
California State Polytechnic University-Pomona 1975 — 1981
BS, Finance, Insurance and Real Estate
UnionBanc Investment Services December 2014 - Present
National Planning Corporation (NPC) March 2011 - December 2014
Ameriprise Financial Services, Inc. 2006 - 2011
Skills
Investments, Broker-Dealer Compliance, Mutual Funds, Series 7, Wealth Management, Suitability Analysis, Securities, Series 66, Series 24, FINRA
Education
California State University-San Bernardino 2001 — 2005
Bachelor's Degree, B.S. - Finance
UnionBanc Investment Services September 2014 - November 2014
Union Bank July 2012 - November 2014
Trilogy Leasing Co., LLC October 2009 - June 2012
Chrsitian Surfers US September 2009 - January 2012
Saddleback Church - Kingdom Builders (formerly The Herd) January 2009 - December 2009
Grace Chapel of Orange June 2007 - December 2008
Huntington National Bank, LEASENET Technology Leasing April 2007 - October 2008
U.S. Bank Oliver-Allen Technology Leasing August 2001 - March 2007
Bankers Direct Leasing, div of ABN AMRO Bank N.V. August 1998 - July 2001
NORTEL Communications March 1995 - December 1997
Skills
Leadership, Business Development, Sales, New Business Development, Marketing, Account Management, Sales Operations, Strategic Planning, Finance, Financial Analysis, Team Building, Banking, Analysis, Management, Small Business, Sales Management, Negotiation, Start-ups, Leadership Development, Marketing Strategy, Direct Sales, Selling, Coaching, Fundraising, Team Leadership, Public Speaking, Business Strategy, Budgets, Portfolio Management, Strategic Partnerships, Non-profits, Business Planning, Social Media, Mentoring, Sales Presentations, Event Management, Public Relations, Asset Management, Credit Review, Business Analysis, Product Marketing, P&L Management, Customer Relations, Entrepreneur, Contract Negotiations, Team Management, Consultative Selling, Commercial Lending, Equipment Leasing, Business Banking
Education
San Diego State University-California State University 1992 — 1994
Pasadena City College 1988 — 1990
General Studies
UnionBanc Investment Services September 2012 - Present
Bank of the West August 2011 - August 2012
UnionBanc Investment Services October 2007 - August 2012
Union Bank December 2004 - September 2007
Ameriprise Financial Services, Inc. April 2003 - September 2004
Nokia Japan September 2001 - April 2003
Lucent Technologies Japan January 2001 - September 2001
Skills
Corporate Finance, Series 7, Series 66, Life & Health Insurance..., Japanese, Banking, Retirement Planning, Life Insurance, Brokerage, Administrative..., SAP, Investments, Annuity Sales, Long Term Care Insurance, Private Banking
Education
Aoyama Gakuin University 1995 — 2000
American English Literature, Education & Communication, Bachelor of Arts (BA)
University of Arizona 1999 — 1999
Communication, General
University of California, Berkeley 1999 — 1999
ESL
Charles Schwab 2011 - 2015
Union Bank 2008 - 2011
UnionBanc Investment Services 2005 - 2008
Franklin Templeton Investments 1995 - 2005
Skills
Advertising, Nonprofits, Marketing, Online Advertising, Management Consulting, Product Management, Fundraising, Leadership, Program Management, Mutual Funds, Investments, Financial Services, Strategy, Marketing Communications, Retirement Planning, Creative Direction, Web Design, Email Marketing, Sales, Integrated Marketing, Process Improvement, Direct Mail, Team Leadership, Community Outreach, Cross-functional Team..., Vendor Management, Equities, Business Analysis, CRM, Marketing Strategy
Education
University of California, Berkeley
Management & Leadership Certification
University of California, Berkeley
Marketing Certification
University of California, Davis
B.S., College of Agricultural and Environmental Sciences
Citi Personal Wealth Management May 2013 - Present
BancWest Investment Services December 2010 - February 2013
UnionBanc Investment Services October 1996 - April 2010
Atlas Securities July 1992 - October 1996
World Savings July 1990 - July 1992
Skills
Series 24, Wealth Management, Series 7, Retirement Planning, Series 63, Banking, Sales Management, Portfolio Management, Mutual Funds, Investments, Financial Services, Asset Management, Financial Advisory, Finance, Risk Management, Sales Management..., Asset Allocation, Commercial Banking, FINRA, Private Banking
Education
California State University - San Bernardino 1988 — 1990
Business Administration
Southern Oregon University 1989 — 1989
International Marketing
UnionBanc Investment Services February 2013 - Present
Wells Fargo Advisors August 1999 - October 2012
Education
University of California, Santa Barbara 1994 — 1998
"Bachelor of Arts", Art History, Criticism and Conservation
MUFG Union Bank, N.A. December 2014 - Present
Union Bank/UnionBanc Investment Services,LLC February 2005 - December 2014
UnionBanc Investment Services February 2005 - July 2007
Wescom Financial Services, LLC October 2002 - February 2005
Banc of the West Investment Services November 1990 - October 2002
Bank of the West 1990 - 2002
Education
Suffolk University - Sawyer Business School
Bachelor's Degree, Business Administration and Management, General
Suffolk University - Sawyer School of Management
Bachelor's Degree, Business Management & Finance
LPL Financial April 2015 - Present
UnionBanc Investment Services October 2007 - April 2015
US Bank Investments 2005 - 2007
Washington Mutual 2003 - 2005
Skills
Series 7, Series 66, Series 63, 401k, Series 6, Portfolio Management, Strategic Financial..., Securities, Insurance, Asset Managment, Financial Services, Personal Finance, Banking, Investments, Wealth Management, Retirement Planning, Mutual Funds, Relationship Management
Education
The Evergreen State College
Bachelor's Degree, Liberal Arts
UnionBanc Investment Services May 2008 - Present
UnionBanc Investment Services December 2004 - May 2008
Banc of America Investment Services August 2000 - December 2004
California Alumni Association July 2000 - June 2003
Citicorp Investment Services, LLC March 1999 - August 2000
Education
University of California, Berkeley
Bachelor of Arts (B.A.), Social Sciences
UnionBanc Investment Services July 2008 - Present
Citi October 2006 - July 2008
Smith Barney September 2005 - October 2006
Skills
Series 7, series 24, series 63, series 65, CA Life & Health..., Investment sales force..., Investment Sales..., Equities, Securities, Wealth Management
Education
Harvard Business School 1976 — 1978
Master of Business Administration (MBA), Finance, General
Purdue University 1969 — 1970
Master's degree, Biology and Biochemistry
UnionBanc Investment Services April 2010 - Present
Allstate Financial March 2009 - April 2010
Bank of America/Countrywide Investment Services October 2008 - October 2009
NYLIFE Securities/New York Life December 2006 - October 2008
Skills
Wealth Management, Retirement Planning, Financial Planners, Strategic Financial..., Finance, Wealth Management..., Series 7, Investments, Investment Strategies, Mortgage Lending, Asset Allocation, Financial Services, 401k Rollovers, Business Development, Private Banking, Alternative Investments, Wealth, IRAs, Pensions, 401k, Investment Management, High Net Worth..., Bonds, Life Insurance, Series 6, Fixed Income, Series 65, ETFs, Savings, Long-term Care
Education
The American College
Financial Planning and Services
Mission Santa Clara
Business Administration and Management, General
Los Gatos High School
West Valley College
Business Administration and Management, General
Google September 2013 - Present
UnionBanc Investment Services May 2012 - September 2013
Union Bank December 2009 - May 2012
Citi May 2006 - December 2009
Skills
Sales, Recruiting, Time Management, Relationship Management, Banking, Leadership, Interview Preparation, Customer Satisfaction, Customer Retention, SQL, Finance, Investments, Loan Origination, Insurance, Credit, Financial Analysis, Financial Reporting, Financial Management..., Customer Service, Daily Operations..., Business Analysis, Microsoft Office, Microsoft Excel, Microsoft Word, PowerPoint, Outlook, Daily Reports, Sales Presentations, Account Management, Teamwork, Organization, Consumer Lending, Small Business Lending, Commercial Lending, Cold Calling, Building Relationships, College Recruiting, Human Resources
Education
University of San Diego 2002 — 2006
Bachelor of Business Administration (B.B.A.), Business Administration, Management and Operations, 3.52 GPA
University of California, Berkeley May 2014 - November 2014
UnionBanc Investment Services February 2008 - May 2013
Union Bank March 2004 - February 2008
Skills
Series 7, Series 63, California Life &..., Retirement Planning, Mutual Funds, Insurance, Fixed Annuities, Variable Annuities, College Savings Plans, Equities, Customer Service, Sales, Banking, Investments, Business Development, Management, Finance, Business Strategy
Education
University of California, Los Angeles 2006 — 2007
Certificate Program in Personal Financial Planning
University of California, Irvine 1999 — 2003
Bachelor of Arts (B.A.), Economics/ Japanese Languages & Literature
Compass Financial Planning June 2010 - Present
Rancho Cucamonga Chamber of Commerce 2003 - 2014
UnionBanc Investment Services January 2006 - March 2010
Charles Schwab July 1992 - January 2003
Skills
Sales Management, Portfolio Management, Financial Planning, Investment Advisory, Financial Services, Finance, Investments, Mutual Funds, Management, Retirement Planning, Retirement, Wealth Management, Asset Management
Education
Hope International University
Union Bank of California March 2000 - Present
Union Bank of California March 2005 - May 2006
UnionBanc Investment Services June 2004 - March 2005
UnionBanc Investment Services January 2002 - June 2004
UnionBanc Investment Services March 2001 - January 2002
Merrill Lynch August 2000 - March 2001
Education
University of Phoenix 2001 — 2003
MBA, Global Management
National Louis University 1995 — 1998
BS, Business Management
Villanova University
Masters Certificate, Project Management
Maine West
LPL Financial September 2014 - Present
UnionBanc Investment Services December 2008 - September 2014
Contango Capital Advisors May 2007 - November 2008
Centara Capital Management 2006 - 2007
Banc of America Investments 2001 - 2004
Education
United States Naval Academy 1989 — 1994
Control Systems
Choate Rosemary Hall
LPL Financial January 2014 - Present
LPL Financial September 2008 - Present
UnionBanc Investment Services November 2005 - September 2008
Union Bank of California April 2004 - September 2005
TD Waterhouse November 1999 - April 2004
Skills
Series 7, Cross Selling, Series 24, Financial Services, Relationship Management, Credit, Loans, Credit Risk, Commercial Lending, Credit Analysis, Series 53, Series 66
Education
University of California, San Diego 1995 — 1999
UnionBanc Investment Services March 1999 - Present
Skills
Series 7, Series 24, Series 63, Investments, Microsoft Excel, PowerPoint, Microsoft Office, Analysis, Data Analysis, Bonds, Finance
Education
University of California, Los Angeles 1982 — 1984
Oakmont Corporation August 2014 - Present
UnionBanc Investment Services June 2007 - August 2014
Wilshire Associates October 2005 - June 2007
AXA Advisors May 2005 - October 2005
National Planning Corporation (NPC) August 1999 - May 2005
Education
Pepperdine University, The George L. Graziadio School of Business and Management 2000 — 2002
Padilla, Singh & Associates Wealth Management, Inc. 2013 - Present
UnionBanc Investment Services 2008 - August 2013
WaMu Investments 1995 - 2006
Education
ucsc
Union Bank July 2006 - Present
UnionBanc Investment Services July 2001 - July 2006
Zurich Scudder Investments November 1996 - December 2001
Skills
Associate Certification..., Mastering Project..., Essentials of Project..., Series 6 & 63..., Microsoft Project,..., Adobe Professional, Knowledge of Visio, SEI..., Financial Services, Banking, Process Improvement, Program Management, Risk Management, Budgets, Cross-functional Team..., Leadership, Project Management, Project Planning, Training, Business Process..., Business Analysis, Management, Portfolio Management, SDLC
Education
National University
Finance
Lincoln Financial Group September 2013 - Present
Prudential Financial February 2010 - September 2013
UnionBanc Investment Services August 2009 - February 2010
ING January 2008 - April 2009
Jackson National Life 2002 - 2007
American United Life August 2000 - October 2002
Education
University of Southern California 1991 — 1995
BS, Finance and Business Economics
Finance 500 June 2014 - Present
FINRA December 2010 - Present
Girard Securities June 2013 - June 2014
Unionbanc Investment Services May 2011 - May 2013
Independent Contractor 1988 - May 2011
BondDesk Trading 2002 - 2011
eBondTrade 1999 - 2002
Coast Partners 1994 - 1996
PACIFIC SECURITIES, INC. 1980 - 1988
Skills
Securities, Series 24, Series 7, AML, Capital Markets, FINRA, Fixed Income, Hedge Funds, Series 27, Private Placements, Financial Analysis, Equities, Mutual Funds, Options, Securities Regulation, Series 63, Asset Management, Trading, Alternative Investments, Derivatives, Financial Services, Financial Markets, Investment Banking, Investments
Education
California State University-Fullerton
Professional Fiduciary
Saint Mary's College of California 1972 — 1976
Bachelor of Science, Bachelor of Arts, Business Administration and Economics, Communications
UnionBanc Investment Services March 2009 - Present
Merrill Lynch September 2006 - December 2008
Wells Fargo Investments June 2000 - September 2006
Citigroup 1995 - 2000
Education
Pepperdine University
Bachelor's, Business Administration
Huntington Investment Company October 2012 - Present
JPMorgan Chase October 2010 - October 2012
UnionBanc Investment Services January 2008 - November 2011
WaMu Investments January 2001 - January 2008
Washington Mutual 1999 - 2008
Wamu investments 2001 - 2007
Skills
Risk Management, Financial Risk, Securities, Financial Services, Mutual Funds, Banking, Series 7, Series 63, Portfolio Management, Equities
Education
California State University-Long Beach
Huntington National Bank July 2014 - Present
Nationwide October 2009 - July 2014
AIG Royal Alliance November 2007 - May 2009
UnionBanc Investment Services October 2006 - November 2007
WaMu Investment Services July 1999 - September 2006
Skills
Series 24, FINRA, Life Insurance, Regulatory Affairs, Securities, Risk Compliance, Relationship Management, Variable Annuities, Project Management, Leadership, Alternative Investments, Series 7, Series 63, Investments, Financial Advisory, Asset Allocation, Portfolio Management, Series 6, Mutual Funds, Fixed Annuities, Uniform Combined State..., Retirement, Investment Advisory, Series 65, Financial Services, AML, 401k, Retirement Planning, Insurance, Wealth Management, Estate Planning, Banking, Finance, Pensions, IRAs
Education
California State University-Long Beach 1995 — 1998
BA, History
CUSO Financial Services, LP at UNCLE CREDIT UNION July 2013 - Present
UnionBanc Investment Services November 2012 - June 2013
BancWest Investment Services January 2002 - November 2012
PaineWebber/UBS August 1997 - August 2002
Skills
Series 7, Investments, Financial Services, Wealth Management, Series 63, Mutual Funds, Retirement Planning, Finance, Financial Risk, FINRA, Investment Advisory, Asset Allocation
Education
Saint Mary's College of California
UBS Financial Services Inc. July 2014 - Present
Wells Fargo Home Mortgage July 2013 - June 2014
UnionBanc Investment Services September 2010 - July 2013
Union Bank November 2009 - July 2013
Education
California State University-Sacramento 2005 — 2008
Bachelors, Economics
UnionBanc Investment Services July 2005 - Present
Skills
Investment Advisory, Microsoft Word, English, Financial Modeling, Investment Management, Strategic Financial..., PowerPoint, Mutual Funds, Bloomberg, Research, Financial Analysis, Windows, Asset Management, Investment Strategies, Asset Allocation, Fixed Income, Portfolio Management, Customer Service, Equities, Outlook, Accounting, Photoshop, Estate Planning, Series 7, Wealth Management, Budgets, Negotiation, Retirement Planning, Alternative Investments, Certified Financial..., Cash Management, Credit, Private Banking, Retirement, Risk Management, Relationship Management, Credit Analysis, Insurance, Securities, Banking, Series 63, Treasury Management, Financial Planning
Education
California State University-Fullerton, Mihaylo College of Business and Economics
UnionBanc Investment Services January 2013 - Present
KPMG August 2011 - December 2012
TLM, LLC April 2006 - August 2009
Japan Broadcasting Corporation 2000 - 2003
Skills
Japanese, English, Microsoft Office, Bloomberg Terminal, Finance, Accounting, Financial Accounting, Microsoft Excel, Data Analysis, PowerPoint, Corporate Finance, Business Strategy, Strategy, Sarbanes-Oxley Act, Management
Education
Claremont Graduate University 2009 — 2011
Master of Business Administration (MBA), Finance
Doshisha University 1995 — 1999
Bachelor of Commerce (B.Com.), Business/Commerce, General
UnionBanc Investment Services June 2003 - Present
Skills
Retirement Planning, Investment Advisory, Life Insurance, Long Term Care Insurance, College Savings Plans, Income planning
Education
San Diego State University-California State University 1980 — 1987
Master of Business Administration (MBA), Finance, General
San Diego State University-California State University 1972 — 1977
Bachelor of Science (BS), Finance, General