WM Financial Services
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WM Financial Services Employees
Full Spectrum Wealth 2011 - Present
LPL Financial October 2008 - Present
Tow Financial November 2003 - October 2008
Allied Consulting Group October 2000 - October 2003
WM Financial Services January 1999 - October 2000
Griffin Financial Services November 1998 - January 1999
Glenfed Brokerage Services June 1986 - November 1998
Merrill Lynch December 1984 - March 1986
Skills
Portfolio Management, Investment Management, Wealth Management, Municipal Bonds, Life Insurance, Equities, Asset Management, Long Term Care Insurance, College Education..., Strategic Financial..., Series 65, Series 7
Education
The American College 2006 — 2008
Masters of Science in Financial Services, MSFS
California Lutheran University 1988 — 1990
CFP®, Certified Financial Planner Cirriculum
University of Southern California 1980 — 1983
BA Business Administration, Economics, Finance
roscomare road
Endicia October 2012 - Present
Interactive Data Corporation November 2003 - November 2011
Robert Half / Accountemps February 2003 - May 2003
Lycos.com September 2000 - October 2002
WM Financial Services June 1998 - September 2000
Skills
Customer Relations, Email Marketing, Investments, New Business Development, Trading, Executive Management, Research, Team Building, Selling, Salesforce.com, Sales, SaaS, Marketing, Management, Entrepreneurship, Customer Service, CRM, Business Development, Analysis, Lead Generation, Account Management, Strategic Partnerships, Sales Process, Start-ups, Solution Selling, Direct Sales, Leadership
Education
San Jose State University 1993 — 1996
Bachelor of Science, Business Administration (Accounting)
Denton Regional Medical Center (subsidiary hospital of HCA) May 2014 - August 2014
Medical Center of Mckinney January 2014 - May 2014
Gaylord Texan 2010 - 2012
Sutera Spa 2007 - 2010
WM Financial Services 2007 - 2007
Fidelity Investments 2006 - 2006
Ameriprise Financial Services 2004 - 2006
Self Employed 2003 - 2004
Skills
Healthcare, Teaching, Data Entry, Licensing, Leadership, Microsoft Office, Spanish, Microsoft Excel, SPSS, Critical Thinking, Customer Service, Teamwork, Hospitals, Microsoft Word, Therapeutic Massage, Research, Cpr Certified, Public Speaking, Clinical Research, Higher Education, Nutrition, Access, Statistics, Event Planning, Finance, PowerPoint, Nonprofits, Data Analysis
Education
Brookhaven Community College 2014 — 2014
Advanced Technical Certificate, Computed Tomography
Brookhaven Community College 2012 — 2013
Associate in Applied Science, Radiologic Sciences
University of California, Irvine
Bachelor of Arts (BA), Economics
SLR Financial, Inc. April 2012 - Present
Chase Investment Services May 2009 - April 2012
WaMu Investments, Inc. February 2003 - May 2009
WM Financial Services August 2003 - August 2004
WM Financial Services August 2002 - August 2003
Skills
Investments, Portfolio Management, Risk Management, Asset Management, Fixed Income, Business Strategy, Equities, Capital Markets, Strategic Planning, Change Management, New Business Development, Management
Education
San Diego State University-California State University 1998 — 2001
Investment Services at Space Coast Credit Union June 2003 - Present
WM Financial Services December 1999 - June 2003
Market Street Financial March 1997 - December 1999
Skills
Loans, Banking, Mortgage Lending, Portfolio Management, Loan Origination, Financial Services, Credit Risk, Credit Unions, Finance
Education
University of Central Florida 2006 — 2008
Master of Business Administration (MBA), Business and Finance
University of Central Florida 1994 — 1996
Bachelor of Arts (BA), Business Administration/Finance
Nationwide Financial April 2013 - Present
NexBank Securities December 2011 - February 2013
MainStay Investments / New York Life Investment Management November 2007 - October 2009
AIG SunAmerica September 2003 - November 2007
Van Kampen Funds 2002 - 2003
WM financial services May 2001 - September 2002
Washington Mutual Bank July 1998 - May 2001
Skills
Series 63, Series 7, Series 65, Mutual Funds, Series 6, Separately Managed..., Liquid Alternatives, Variable Annuities, Fixed Annuities, Financial Services, Financial Advisory, Investment Advisory, Wealth Management, Asset Allocation, Investments, 401k, Retirement Planning, Alternative Investments, ETFs, IRAs, Retirement, FINRA, Series 24, Uniform Combined State...
Education
California State University-Northridge 1999 — 2002
BA, Criminology and Corrections
Birmingham High School 1992 — 1996
Herzl 1991 — 1993
Industry Related Training
Palomar Financial Services, LLC September 2014 - Present
LifeMark Securities Corp October 2012 - September 2014
UnionBanc Investments July 2006 - December 2010
Wells Fargo Advisors May 2004 - July 2006
WM Financial Services March 1999 - April 2004
Skills
401k Rollovers, Retirement Planning, Financial Advisory, IRAs, Investment Advisory, Retirement, Fixed Annuities, Asset Allocation, Uniform Combined State..., Alternative Investments, Series 63, Investment Strategies, Long-term Care, Investments, Wealth Management, Strategic Financial..., Mutual Funds, 401k, Securities, Portfolio Management, Series 7, Life Insurance, ETFs, Separately Managed..., Financial Services, Traditional IRA, Roth IRA, SEP IRA, Indexed Annuities, Life & Health Insurance..., Wealth, Finance, Estate Planning, Asset Management, Insurance
Education
California State University-Fullerton
Bachelor of Business Administration(B.B.A.), Management
MLB Capital Partners, LLC August 2015 - Present
Transwestern April 2010 - July 2015
USGBC Texas Gulf Coast 2014 - 2014
USGBC Texas Gulf Coast 2014 - 2014
USGBC Texas Gulf Coast 2014 - 2014
CAMERON MANAGEMENT November 2005 - April 2010
UTILITY CHOICE ELECTRIC January 2004 - October 2005
WM FINANCIAL SERVICES 1995 - 2001
Skills
Real Estate, Property Management, Leases, Due Diligence, Asset Management, Budgets, Investment Properties, Management, Leadership, Portfolio Management, Training, Tenant, Negotiation, Mergers & Acquisitions, Property, Finance, Accounting, LEED, Microsoft Excel, Analysis, Commercial Real Estate
Education
University of Houston, C.T. Bauer College of Business 2002 — 2004
MBA, Finance
Texas A&M University 1987 — 1992
Bachelor of Science, Engineering Technology (Manufacturing)
Elsik High School
Green Arrow Insurance & Financial Services August 2001 - Present
WM Financial Services April 2000 - August 2001
Paine Webber March 1999 - April 2000
Skills
Insurance, Life Insurance, Workers Compensation, Commercial Insurance, General Insurance, Small Business, Umbrella Insurance, Property & Casualty..., Disability Insurance, Term Life Insurance, Customer Service, Strategic Planning, Team Building, Microsoft Office, Marketing, New Business Development, Project Management, Coaching, Negotiation
Education
The American College 1998 — 1999
Certificate, Advanced Financial Planning
Texas Southern University 1981 — 1987
Bachelor's of Science, Business Administration / Finance & Banking
Mediaocean November 2007 - Present
WM Financial Services June 2007 - August 2007
MyCorporation by Intuit November 2006 - April 2007
Deutsche Bank October 2006 - November 2006
Washington Mutual January 2006 - September 2006
DriveTime July 2003 - August 2005
CIBC Oppenheimer March 1998 - January 2000
Skills
Training, Software Documentation, Hands-on Training, Training Delivery, Analysis, Learning Management, Business Analysis, Customer Service, Instructional Design, Blended Learning, Process Improvement, CRM, Instructor-led Training, Employee Training, Microsoft Office, Account Management, Vendor Management, Needs Analysis, E-Learning, Sales, Workshop Facilitation, Performance Improvement, ADDIE, WebEx, Analytics, Business Process, Program Management, Technical Training, Training Facilitation, Customer Experience, Business Process..., Troubleshooting
Education
El Camino College
Allstate July 2012 - June 2015
Morgan Keegan October 2004 - March 2009
WM Financial Services September 2002 - October 2004
Quick & Reilly / Fleet Securities May 2001 - December 2001
AXA Advisors August 1998 - May 2001
Skills
Strategic Financial..., Investments, Retirement Planning, Series 7, Series 63, Financial Advisory, Banking, Asset Management, Finance, Fixed Annuities, Wealth Management, Portfolio Management, Insurance, Equities, 401k, Mutual Funds
Education
California State University-Long Beach
BA, Languages / Spanish
University of Southern California
Masters degree not completed., Business / Spanish
Zapata Private Wealth Group October 2010 - Present
California Competes Tax Credit Committee November 2013 - Present
Cetera Advisor Networks LLC, member FINRA/SIPC 2010 - January 2014
Latino Network 2010 - January 2014
Alta Vista CU/Alta Vista Financial Services 2010 - November 2013
HOPE 2013 - 2013
Altura CU 2008 - 2010
Altura Credit Union 2008 - 2010
WM FINANCIAL SERVICES 2004 - 2007
Washington Mutual 2003 - 2006
Skills
Wealth Management, Finance, Investments, Retirement Planning, Banking, Financial Services, Mutual Funds, Strategic Financial..., Securities, Wealth Management..., Retirement, Insurance, Fixed Annuities, Series 63, Credit, Series 7, FINRA
Education
Fielding Graduate University 2013 — 2015
Doctor of Education (Ed.D.), Educational Leadership and Change
UC Riverside 1997 — 2001
Bachelor of Business Administration (B.B.A.), Financial Planning and Services
Lambda Theta Nu Sorority, Inc.
BB&T 2010 - Present
Chase 2009 - May 2010
WM Financial Services 2004 - 2009
H&R Block 2001 - 2004
Skills
Banking, Commercial Lending, Credit, Customer Service, Finance, Investments, Loans, Portfolio Management, Retail Banking, Retirement Planning, Series 63, Wealth Management
Education
University of Florida - Warrington College Of Business
Bachelor of Science Business Adminstration, Finance, General
Kaplan University
McNeice Wheeler October 2013 - Present
Eltopia Communications, LLC November 2012 - Present
AXA-Advisors 2005 - November 2012
M. David Johnson PC 2003 - 2005
M. David Johnson P.C. 2001 - 2003
WM Financial Services January 1998 - January 2000
CRH PLC January 1997 - January 1998
Skills
Estate Planning, Wealth Management, Insurance, Retirement, Investment Strategies, Family Law, Corporate Law
Education
University of Washington School of Law 2014 — 2016
Master of Laws (LL.M.), Taxation
University of Denver - Sturm College of Law 2000 — 2003
Juris Doctorate, General Practice
Gonzaga University 1993 — 1997
Coursework, Business Finance
KeyBank June 2014 - Present
Forbes.com August 2011 - Present
LearnVest Planning Services, Inc. April 2013 - January 2014
Financial Finesse September 2006 - March 2013
Nancy L. Anderson Financial & Insurance Services December 2002 - September 2006
WM Financial Services January 1996 - December 2002
Skills
Retirement Planning, Financial Education, Research, Newsletters, Financial Planning, Writing, Financial Wellness, Project Management, Corporate Blogging, Onboarding, Development & delivery..., Productivity Coaching, Strategic Financial..., Investments, Blogging, Training, Asset Allocation, Financial Services, 401k, Retirement, Small Business, Strategic Planning, Wealth Management, Finance, Financial Advisory, Financial Planners, Personal Finance, Employee Benefits, Investment Advisory, Investment Strategies
Education
University of California, Davis
B.A
PNC Wealth Management 2012 - Present
Merrill Lynch 2008 - 2012
Bank of America 2005 - 2008
WM Financial Services 2004 - 2005
PNC Investments 2003 - 2004
Education
Kean University 1999 — 2003
Bachelor of Science (B.S.), International Business
WFG National Title May 2010 - Present
WM Financial Services 1996 - 2007
Skills
Sellers, Real Estate, Short Sales, Investment Properties, Condos, Real Estate Transactions
Education
Central Washington University
Elite Financial Partners 1996 - Present
WM Financial Services January 2001 - November 2002
American Express Financial Advisors June 1997 - January 2001
Skills
Financial Planning, Retirement Planning, Estate Planning, Asset Protection, Retirement, Estate Tax Planning, Wealth Management, Wealth Preservation, Wealth Transfer Planning, Inheritance Tax Planning, Mutual Funds, Asset Allocation, Bonds, Stocks, Strategic Planning, Entity Selection, Retirement Income..., Real Estate Investment, 1031 Exchanges, IRA Rollovers, Roth IRA, 401k, 401k Rollovers, Succession Planning, Business Strategy, Long Term Care, Insurance, Investment Advisory, Employee Benefits, Term Life Insurance, Wealth Accumulation, Wealth, Disability Insurance, Alternative Investments, Series 7, Series 63, Series 65, IRAs, Strategic Financial..., Financial Planners, Banking, Finance, Wealth Management..., Investments, Tax, Small Business, Investment Management, Investment Strategies, Financial Services, Investment Properties
Education
College for Financial Planning 2011 — 2012
Chartered Retirement Planning Counselor Professional Education for Financial Advisors
University of Phoenix 2009 — 2012
Bachelor of Science (B.S.), Finance, 3.93
National Institute for Estate Planners 2004 — 2005
GEPC, Estate Planning
DHS 1981 — 1995
GI Financial Services August 2007 - Present
Wealth Management Industry 2007 - 2013
WM Financial Services 2005 - 2007
Citicorp Investment Services 2002 - 2005
Skills
Retirement Planning, Wealth Management, Banking, Strategic Financial..., Investments, Asset Allocation, Mutual Funds, Fixed Annuities, Series 65, Investment Advisory, Life Insurance, Series 7, Portfolio Management, Series 63, Securities, Alternative Investments, Estate Planning, Asset Managment, 401k, Fixed Income, Retirement, Equities, Insurance, Financial Analysis
Education
Florida International University 1996 — 1999
Bachelors in Business Administration, Finance & International Business
North Miami Beach Senior H.S.
The Short Sale Group / The Peralta Company June 2014 - Present
The Short Sale Group / Diamond Bay Realty May 2012 - June 2014
Better Homes and Gardens Mason-McDuffie January 2010 - May 2012
BCW Inc. July 2003 - April 2009
WM Financial Services April 2001 - October 2002
Paine Webber November 1999 - April 2001
Golden Gate Harley-Davidson 1996 - 1998
Harley-Davidson Nice Côte d'Azur 1995 - 1995
Skills
Foreclosures, Short Sales, Home, Real Estate, probate, Investment Properties, Rental Real Estate, HUD, Property, Real Estate Financing, FHA, Residential Homes, Sellers, Real Estate Transactions, Referrals, Mortgage Banking, Real Property, Mortgage Lending, Buyer Representation, REO, SFR
Education
San Francisco State University, College of Business 1996 — 1998
MBA, Business
Kansai Gaidai University 1987 — 1988
Business, Language, Foreign Studies Program
Sarah Lawrence College 1984 — 1988
BA, Liberal Arts
Citi Wealth Management 2009 - June 2013
Citi Smith Barney 2006 - 2009
WM Financial Services 1998 - 2005
Griffin Financial Services 1991 - 1998
Skills
Series 7, Series 24, Series 63, Investments, Equities, Financial Advisory, Wealth Management, Portfolio Management, Retirement Planning, Certified Financial..., Securities, Asset Allocation, Investment Advisory, Mutual Funds, Strategic Financial..., Fixed Annuities, Series 6, Financial Services, Investment Management, Uniform Combined State..., Investment Strategies, 401k, Asset Management, Retirement, Banking, Insurance, Fixed Income, FINRA, Relationship Management, Wealth Management..., Hedge Funds, Finance, Series 65, ETFs, Bonds, Private Banking, High Net Worth...
Education
California State University-Los Angeles 1971 — 1975
BA, Psychology
Denver College of Financial Planning
CFP designation, Financial Planning
Integrity Financial Consultants, LLC January 2009 - Present
Intuit January 2014 - Present
USAR IRR August 2012 - Present
Parenthood December 2009 - Present
USFJ September 2009 - August 2012
US Army May 2008 - December 2008
H&R Block (Seattle Center Franchise) September 2005 - April 2008
Washington Army National Gaurd September 2003 - April 2005
WM Financial Services January 2003 - September 2003
self-employed June 1998 - December 2002
Skills
Tax Preparation, Accounting, Tax, Investments, Corporate Tax, Tax Law, Tax Returns, Strategic Financial..., Strategic Planning, Small Business, Team Leadership, Customer Service, Finance, Public Speaking, Project Management, Series 7, Entrepreneurship, Management, Due Diligence
Education
City University of Seattle 2006 — 2008
Graduate Certificate, Personal Finance
State University of New York College at Geneseo 1990 — 1994
BA, Economics
Merrill Lynch March 2010 - Present
Blaylock Robert Van, LLC July 2009 - March 2010
Thought to Action March 2009 - June 2009
Ivy Funds September 2007 - December 2008
Principal Funds January 2007 - September 2007
WM Group of Funds May 2004 - December 2006
WM Financial Services 1996 - 2004
ASB Financial Services 1996 - 1997
First Interstate Investments 1994 - 1996
James Mitchell and Co. 1989 - 1994
Education
College for Financial Planning 1986 — 1989
CFP
University of Illinois at Urbana-Champaign - College of Business 1981 — 1985
Palatine High School
Giordano Wealth Management Group, LLC December 2009 - Present
Santa Clara Valley Healthy Kids 2005 - Present
Wells Fargo Investments March 2004 - November 2009
WM Financial Services May 1993 - March 2004
Education
University of California, Santa Barbara 1987 — 1990
CodeScience, Inc. September 2015 - Present
NTT Centerstance October 2010 - August 2015
OS Strategies Consulting June 2009 - December 2009
SelectQuote Insurance Services December 2004 - December 2006
WM Financial Services September 2002 - December 2004
Skills
Business Intelligence, CRM, Negotiation, Salesforce.com, SaaS, Account Management, Sales, Business Development, Business Analysis, Solution Selling, New Business Development, Cloud Computing, Integration, Strategy, Sales Process, Salesforce.com..., Salesforce.com...
Education
Monterey Institute of International Studies 2007 — 2008
Master of Arts (MA), International Policy
St. Mary's College of California 1998 — 2002
Bachelor of Arts (BA), Political Science and Government
Citi Personal Wealth Management June 2013 - Present
Bank of America/Merrill Edge February 2012 - December 2012
CITI PERSONAL WEALTH MANAGEMENT June 2010 - December 2011
WASHINGTON MUTUAL FINANCIAL SERVICES December 2005 - June 2009
WM FINANCIAL SERVICES December 2005 - May 2009
Atlas 2004 - 2008
Atlas Securities 2004 - 2008
ATLAS SECURITIES, INC./WORLD SAVINGS October 2004 - May 2005
ATLAS SECURITIES, INC./WORLD SAVINGS October 2004 - May 2005
WM FINANCIAL SERVICES Pacific Palisades January 2001 - January 2003
Skills
Investments, Mutual Funds, Securities, Portfolio Management, Series 7, Investment Advisory, Series 63, Fixed Annuities, Retirement Planning, Wealth Management, Retirement, Financial Advisory, Management, Equities, Strategic Financial..., Finance, Asset Management, Uniform Combined State..., Asset Allocation, 401k, Sales, FINRA, Financial Services, Series 6, Series 65, Series 24, Alternative Investments, Fixed Income, IRAs, Bonds, Investment Strategies, Financial Planning
Education
University High School 1968 — 1971
Santa Monica College
Santa Monica College
General Education
Fendz Asset Management, Inc. June 2006 - Present
Morgan Keegan, Inc. November 2004 - June 2006
WM Financial Services March 2003 - November 2004
A.G. EDWARDS & SONS March 1998 - March 2003
Merrill Lynch June 1997 - January 1998
Skills
Asset Management, Financial Advisory, Investment Strategies, Equity Indexed Annuities, Variable Annuities, Life Insurance, Health Insurance, 401k Rollovers, 401k, Retirement Planning, Strategic Financial..., Asset Managment, Portfolio Management, Retirement, Estate Planning, Financial Services, Fixed Annuities, Series 7, Securities, Wealth Management, Wealth Accumulation, Private Banking, Finance, High Net Worth..., Wealth Management..., Alternative Investments, Insurance, Risk Management, Investment Management, Disability Insurance, Investments, Series 63, Separately Managed..., Personal Finance, ETFs, Management, Fixed Income, Mutual Funds, Pensions, Series 65, Investment Advisory, Wealth, Asset Allocation, FINRA, Series 6, Entrepreneurship, Equities, Loans, IRAs, Bonds
Education
Cannon Financial Institute 2005 — 2005
Wealth Mgmt., Comprehensive Wealth Mgmt.
Florida International University - College of Business Administration 1980 — 1999
BBA, Finance & International Business
Merrill Lynch 1997 — 1998
Series 7, 63, 65 & 215, Investments & Insurance
South Miami Senior High 1978 — 1980
High School Doploma, Sociology
Markley Technologies May 2011 - Present
Wells Fargo Bank August 2008 - Present
WM Financial Services March 2005 - November 2006
Wells Fargo Bank June 2002 - March 2005
VoiceStream/T-Mobile Wireless July 2001 - April 2002
The Walt Disney Company June 1997 - June 2001
Education
California State Polytechnic University-Pomona 1993 — 1997
English
California State University-Long Beach
Saint Paul High School
California State Polytechnic University
Bank of America November 2010 - Present
JP Morgan Chase, formerly WaMu Investments Inc July 1998 - May 2009
WM Group of Funds 1995 - 2009
WM FINANCIAL SERVICES 1995 - 2009
Great Western Financial Securities Corporation December 1995 - July 1998
Pilgrim Group, Inc January 1990 - July 1995
Skills
AML, Account Reconciliation, Accounting, Asset Management, Auditing, Banking, Compliance, Employee Benefits, Equities, Employee Relations, Customer Service, FINRA, Finance, Financial Risk, Financial Services, Fixed Income, Human Resources, Investments, Leadership, Management, Mergers & Acquisitions, Mutual Funds, Options, Portfolio Management, Recruiting, Risk Management, Securities, Series 63, Series 7, Software Documentation, Staff Development, Strategic Financial..., Team Building, Team Leadership, Time Management, Trading, Training, Anti Money Laundering, Financial Planning
Education
University of California, Los Angeles 1984 — 1988
Bachelor's degree, Economics
University of California, Los Angeles (UCLA) 1984 — 1988
BA, Economics
McCready Financial Group May 2005 - Present
WM Financial Services January 2000 - May 2005
Cal Fed 1996 - 2000
Skills
Retirement Planning, Social Security Planning, Structured Products, Retirement Accounts, Investment Strategies, Income for Life, Insurance, IRAs, Securities, Social Security, Strategic Financial..., Estate Planning, Finance, Equities, Financial Planners, Investments, Retirement, Wealth Management..., FINRA, Wealth Management
Education
College for Financial Planning 2009 — 2012
Master of Science, Personal Financial Planning
College for Financial Planning 2002 — 2005
Master's degree, Personal Financial Planning
California State University-Long Beach - College of Business Administration 1998 — 2002
B.S., Finance
BP Logix, Inc. February 2014 - Present
Insight Imaging 2010 - January 2014
Insight Imaging October 2009 - October 2010
WaMu Investments (fka WM Financial Services) 2007 - May 2009
WM Financial Services 2004 - 2007
Warner Bros. 2003 - 2003
Indymac Bank 2000 - 2002
DS Consultants 1998 - 2000
City National Bank 1997 - 1998
American Savings Bank 1994 - 1997
Skills
Team Building, Business Process..., Organizational..., Strategic Planning, Application Lifecycle..., Project Management, Change Management, Mentoring, Analysis, Management, Software Documentation, Leadership, Process Improvement, Quality Assurance, Software Development, Visio, Cross-functional Team..., Healthcare, Budgets, Executive Management, Business Strategy, Business Analysis
Education
Canoga Park High School
University of California, Los Angeles
Merrill Lynch Wealth Management October 2010 - Present
Morgan Stanley Smith Barney January 2007 - October 2010
New England Financial January 2004 - January 2007
WM Financial Services 2002 - 2003
Wells Fargo Investments 1998 - 2001
Wells Fargo Bank 1994 - 1997
Skills
Wealth Management, Financial Planning, Investments, Retirement Planning, Asset Management, Strategic Financial..., Asset Managment, Financial Advisory, Finance, Portfolio Management, Retirement, Financial Services, Wealth Management..., Wealth, Asset Allocation, Small Business
Education
University of Redlands 2004 — 2006
MBA, Finance Emphasis
San Diego State University-California State University
BS, Business Finance
California Polytechnic State University-San Luis Obispo
Aeronautical Engineering
Mt. Carmel High School
Diploma
Foothill Securities, Inc. July 2015 - Present
LPL Financial October 2013 - July 2015
Wealthfront Inc. February 2013 - August 2013
Scottrade March 2009 - February 2013
Yahoo! Inc May 2008 - May 2009
Greater Bay Bancorp December 2007 - April 2008
First Capital Mortgage Corp August 2006 - October 2007
Lehman Brothers December 2004 - August 2006
WM Financial Services February 2003 - December 2004
JB Oxford & Company July 2001 - January 2003
Skills
Financial Markets, Stock Management, Financial Analysis, Banking, Portfolio Management, Risk Management, Mutual Funds, Finance, Management, Analysis, Trading, Investments, Valuation, Securities, Options, Financial Services, Series 7, Equities, Series 63, FINRA, Hedge Funds, Asset Management, Strategic Financial..., Training, Loans, Financial Planning
Education
Colorado State University 2009 — 2012
Masters, Business Administration
Philander Smith College LA Alumni April 2010 - April 2012
IHSS May 2004 - April 2012
County of San Bernardino April 2007 - February 2010
San Bernadino County School District April 2007 - February 2010
Life Christian Academy August 2004 - April 2007
New York Life Insurance Company November 2002 - August 2004
WM Financial Services September 2000 - November 2002
Skills
Child Advocacy, Guidance Counseling, Career Counseling, Non-profits, Board of Director..., Entrepreneurship, Career Technical..., Life Skills, Motivational Speaking, Small Group Counseling, Teen Services, Individual Counselling, Self Driven, Teaching, Caregiving, Nurturing, Success Driven, Hands-on Training, Problem Solving, Computer Proficiency, Educational Technology, Leadership Development, Nonprofits, Student Affairs, Student Counseling, Fundraising, Program Development, Board of Directors, Team Building, Self-driven, Resume Writing, Training, Social Networking, Staff Development, Community Outreach, Leadership
Education
University of California at Riverside 2004 — 2011
PPS School Counseling Credentials, Counselor
University of California, Riverside 2004 — 2009
Credentials, Education
Philander Smith College 1997 — 1999
BA, Organzational Management
Transamerica Life & Protection December 2011 - Present
Table Bay Financial Network June 2010 - November 2010
SunAmerica Retirement Markets December 2003 - January 2010
WM Financial Services June 2002 - December 2003
Washington Mutual Bank November 1999 - June 2002
Skills
Series 7, Series 63, Financial Services, Fixed Annuities, Series 6, Retirement Planning, 401k, Sales, Insurance, Life Insurance, Investments, Customer Service, Retirement, Mutual Funds, Separately Managed..., Strategic Financial..., FINRA, Finance, Sales Management, Public Speaking, Leadership, Strategic Planning, Account Management, Annuities, Financial Planning, Customer Relations, Team Building, Coaching, Creative Problem Solving, Time Management, Microsoft Office, Project Management, Innovation, Challenge Driven, Success Driven, Variable Annuities, New Business Development, Organizational..., Team Leadership, Marketing, Social Networking, Negotiation, Business Strategy, Training, Youth Mentoring, Banking, B2B, Change Management, Product Development, Cross-functional Team...
Education
California State University-Northridge 1999 — 2002
Bachelors, History
Wells Fargo Advisors January 2013 - Present
Wells Fargo September 2009 - January 2013
WM Financial Services January 2004 - January 2009
SunTrust 2000 - 2004
Skills
Retirement Planning, Investments, Insurance, Finance, Microsoft Word, Microsoft Office
Education
Nova Southeastern University 1999 — 2001
Master of Business Administration (M.B.A.), Business Administration and Management, General
University of Miami 1979 — 1983
Bachelor of Arts (B.A.), Music Merchandising / Business Administration
John Marshall High School
Pacific Capital Resource Group 2011 - Present
TheEndline.com December 2009 - Present
GDC Financial Solutions 2006 - 2011
Tax & Financial Group 2006 - 2010
WM Financial Services 2004 - 2006
Northwest University 2000 - 2003
Skyhawks Sports Academies June 1999 - August 1999
Brownfield Promotions, Inc March 1996 - August 1997
Education
Snohomish High School 1992 — 1995
High School
Northwest University 1997 — 2000
BA, Business
Trinity Western University 1995 — 1996
General Studies
Kaplan University 2008 — 2008
Certificate, Financial Planning
Allied Barton Securtiy February 2015 - Present
Morgan Stanley July 2014 - September 2014
Morgan Stanley March 2013 - January 2014
Citi May 2010 - March 2011
Citi Personal Wealth Management October 2005 - July 2009
Wells Fargo Investments November 2001 - September 2005
WM Financial Services September 1995 - October 2001
Franklin Templeton Investments July 1993 - August 1995
Education
Saint Mary's College 1988 — 1992
Bachelor of Science, Business Administration; Financial Services
Serra High School 1980 — 1984
Shoreline Financial Group May 2014 - Present
Jackson National Life December 2009 - April 2014
Jackson National Life September 2006 - November 2009
WM Financial Services October 2003 - September 2006
Riggs Securities May 2003 - October 2003
WM Financial Services November 2001 - May 2003
Morgan Stanley March 2000 - November 2001
Skills
Mutual Funds, Alternative Investments, Variable Annuities, Sales, Separately Managed..., Financial Services, ETFs, Investments, Fixed Annuities, Retirement Planning, Series 7, Series 63, Series 65, Securities, Asset Management, Indexed Annuities, Retirement, Investment Advisory, New Business Development, Sales Management, 401k, Mentoring, Collaboration, Business Process..., Wealth Management, Insurance, Asset Allocation, Life Insurance, Financial Planning, Finance, Management, Leadership, Financial Advisory, Investment Strategies, Portfolio Management, Estate Planning, Strategic Planning, Equities, Bonds, CRM, Relationship Management, Consulting, Fixed Income, Consultative Selling, Investment Management, Salesforce.com, Team Building, Marketing, Strategy, IRAs
Education
Florida State University
Bachelor of Science (BS), International Affairs, Business
Los Angeles Federal Credit Union January 2015 - Present
PayrollCentric September 2014 - January 2015
Polycomp Administrative Services, Inc. May 2010 - August 2014
Polycomp Administrative Services, Inc. August 2004 - May 2010
Washington Mutual Bank January 2004 - August 2004
WM Financial Services March 2003 - January 2004
Washington Mutual Bank August 2001 - March 2003
Washington Mutual Bank October 1998 - August 2001
Great Western Bank/Washington Mutual Bank October 1993 - October 1998
Skills
IRA Expert, Fraud Investigations, Compliance, Self-directed IRA..., Retirement, IRA Custodial Services, Alternative Investments, IRA Services, IRAs, Retirement Planning, Fraud, Mortgage Lending, Executive Management, Investments, Accounting, Banking, Management, Finance, Real Estate Transactions, Retirement Savings, Real Estate, Small Business, Training, Financial Analysis, 401k, QuickBooks, Risk Management, Customer Service, Financial Services, Sales, Asset Managment, Insurance
Education
University of Santo Tomas 1985 — 1989
Bachelor of Science, Hotel and Restaurant Management
Fidelity Investments May 2015 - Present
Fidelity Investments May 2011 - April 2015
Fidelity Investments April 2013 - December 2014
Fidelity Investments September 2008 - May 2011
Fidelity Investments March 2007 - August 2008
Fidelity Investments March 2004 - March 2007
WM Financial Services April 2003 - March 2004
Wells Fargo June 2002 - May 2003
Merrill Lynch November 1997 - May 2002
Traildust Steakhouse February 1991 - December 1996
Skills
Financial Services, Sales Management, Team Leadership, Series 7, Leadership Development, Series 65, Series 9, Series 10, Negotiation, Management, Leadership, Investments, Sales, Mutual Funds, Series 63, Risk Management, Process Improvement, Customer Service, Securities, Microsoft Excel
Education
The University of Dallas 2009 — 2012
Master of Business Administration (MBA), Business Administration and Management, General, 3.7
University of North Texas
BBA, Management
Weiss Global Wealth Management April 2003 - Present
UBS Wealth M June 1999 - February 2003
WM Financial Services May 1996 - May 1999
PaineWebber July 1993 - April 1995
First Federal Bank of California March 1982 - June 1993
Education
California State University-Northridge
Bachelor of Science (B.S.)
Institute of Business and Finance
Certified Income Specialist
Institute of Business and Finance
Certified Fund Specialist
Capital One November 2008 - Present
James E. Bashaw & Co. 2005 - 2007
WM Financial Services 2001 - 2005
Wells Fargo Securities 1999 - 2001
Banc One Securities Corporation 1997 - 1999
Banc One Securities Corporation 1988 - 1997
Banc One Securities Corporation 1986 - 1988
Banc One Securities Corporation 1982 - 1986
Skills
Series 24, Series 7, Series 65, Series 63, Series 53, Group 1 Life Insurance, Microsoft Office
Education
The University of Texas at Austin
BBA, Finance
University of Houston
University of St. Thomas (TX)
Bank of the West May 2012 - Present
Allianz Life May 2011 - May 2012
Principal Funds Distributor, Inc. January 2005 - September 2008
WM Funds Distributor, Inc. January 2002 - December 2004
WM Funds Distributor, Inc. March 1998 - December 2001
WM Financial Services December 1990 - March 1998
Education
California State University-Fullerton - College of Business and Economics
B.A., Business Administration, Marketing
WAXIE Sanitary Supply 2015 - Present
Monarch School 2013 - 2014
National MS Society 2011 - 2012
National MS Society 2009 - 2011
Hospital to Home 2004 - 2009
Intuit 2003 - 2005
Jerry Russell & Associates 2001 - 2003
WM Financial Services 1999 - 2001
Everen Securities 1993 - 1998
The Dresbach Company 1992 - 1993
Skills
Leadership, Strategic Partnerships, Fundraising, Business Development, Non-profits, Team Building, Strategy, Event Planning, New Business Development, Nonprofits, Event Management, Corporate Communications, CRM, Entrepreneurship, Strategic Planning, Sponsorship, Start-ups, Advertising, Marketing, Selling, Program Management, Public Relations, Social Media, Management, Marketing Communications, Time Management, Sales, Social Networking, Marketing Strategy
Education
University of San Diego School of Law
J.D., Law
University of California, Santa Barbara
B.A., Communications
Herbert J. Sims & Co. February 2012 - Present
UBS Financial Services December 2008 - February 2012
Glen Rauch Securities August 2004 - December 2008
Dime Securities April 2001 - October 2003
WM Financial Services 2001 - October 2003
First Union Brokerage Services January 1996 - April 2001
First Fidelity Bank 1992 - 1996
First Institutional Securities Inc 1990 - 1992
Discount Corporation of NY Municipals 1985 - 1989
Skills
Investments, Bonds, Series 7, Series 63, Wealth Management, Asset Managment, Trading, Securities, Fixed Income, Equities, Economics, Portfolio Management, Capital Markets, Investment Banking, Mutual Funds, FINRA, Alternative Investments, Asset Allocation, Bloomberg, Uniform Combined State..., Asset Management, Investment Strategies, Series 24
Education
Rutgers, The State University of New Jersey-New Brunswick 1979 — 1983
BA
EP Wealth Advisors February 2013 - Present
Charles Schwab October 2003 - August 2011
WM Financial Services November 2002 - September 2003
Education
University of California, at Berkeley 1997 — 2002
BA, Major: Legal Studies, Minor: Philosophy
Loyola High School
New York Institute of Finance
Core Skills Analyst Program - Accounting Module
University of Windsor
Study Seminar for Financial Analysts
Law Offices of Hollander & Hollander May 2015 - Present
University of California, Hastings College of the Law August 2014 - Present
BancWest Investment Services August 2013 - August 2014
Morgan Stanley January 2013 - August 2013
City National Securities August 2010 - August 2012
LFCU Brokerage & Insurance Services May 2009 - August 2010
Citi Smith Barney January 2008 - October 2008
WM Financial Services September 2000 - September 2007
Skills
Investments, FINRA Series 7, 63, 66, Estate Planning, Wealth, Fixed Annuities, Series 7, Mutual Funds, Securities, Retirement Planning, Financial Services, Finance, Life Insurance, Series 63, Wealth Management, Portfolio Management, Investment Advisory
Education
University of California, Hastings College of the Law 2014 — 2017
Doctor of Law (JD)
California State University-Northridge
Bachelor of Science (B.S.), Business Administration
IReadySystems 2010 - Present
Prudential Financial July 2006 - 2010
WM Financial Services September 2004 - July 2006
American Express Financial Advisor July 2001 - September 2004
Skills
Strategic Financial..., Business Development, Strategic Planning, New Business Development, Risk Management, Team Building, Start-ups, Contract Negotiation, Project Management, Program Management, Business Process..., Strategy, Project Planning, Business Planning, Analysis, Business Analysis, Management, Business Strategy, Process Improvement, Budgets, Recruiting, Financial Analysis, Finance, Sales, Executive Management, Mergers & Acquisitions, Entrepreneurship, Financial Planning, Integration, Management Consulting
Education
M S University 1979 — 1982
B Sc, Physics, geology, mathematics
Maharaja Sayajirao University 1979 — 1982
B Sc., Physics, Mathematics, Geology
Sun Maintenance, Inc. June 2006 - February 2012
Washington Mutual, Inc. May 2002 - May 2006
WM Financial Services April 2000 - May 2002
Home Savings of America July 1997 - April 2000
Skills
Customer Service, Data Entry, Outlook
Education
California State University-Fullerton 2004 — 2006
Business Entrepreneurship
Fullerton College 2001 — 2004
Business
Buena Park High School 1993 — 1997
Samsung Electronics America November 2006 - July 2010
WM Financial Services February 2004 - February 2006
Skills
Business Development, Accounting, New Business Development, Product Management
Education
University of California, Los Angeles 1998 — 2003
B.A., Psychology
wm financial services Financial AdvisorWaMu Investments2007 - Present
td waterhouse 2001 - 2004
Education
California State University San Marcos 2002 — 2006
BUSINESS ADMINISTRATION, ACCOUNTING
Colorado State University 1994 — 1997
Colorado State University 1994 — 1995
finance
Capistrano USD - Saddleback USD October 2007 - Present
WM Financial Services 2000 - 2004
Education
University of Southern California 1987 — 1992
Spring Mobile November 2014 - Present
TEC Equipment January 2014 - October 2014
KARL STORZ North America February 2011 - December 2013
KARL STORZ Endoscopy-America July 2006 - February 2011
WM Financial Services 2001 - 2004
Skills
Auditing, Financial Modeling, US GAAP, Tax, Cost Accounting, Research & Development..., Property Tax, Sales & Use Tax, Financial Reporting, Accounting Research, Tax Research, SEC filings, Corporate Tax, QuickBooks, Financial Analysis, Transfer Pricing, Microsoft Excel, Accounting, General Ledger, Finance, Budgets
Education
California State University-Los Angeles 2004 — 2006
Bachelor of Science (B.S.), Accounting
Hispanic Nurse Solutions Chief Operations OfficerHelix Biomedics, LLCApril 2011 - Present
Helix Biomedics, LLC 2011 - 2013
HNStest Power Remedial/Refresher 2010 - 2011
JB Hanaeur & Co. 2001 - 2001
WM financial services 1998 - 2000
Great Western Financial Services 1997 - 1997
MetLife 1996 - 1997
Education
Florida International University 1989 — 1989
Dade Christian School 1982 — 1985
University of Florida
KBS Capital Markets Group December 2005 - Present
WM Financial Services September 1993 - December 2005
Skills
Series 7, Securities, Series 63, Mutual Funds, Series 24, Alternative Investments, Asset Management, FINRA, Wealth Management, Investment Advisory, Portfolio Management, Asset Allocation, Asset Managment, Investments, Risk Management, Equities, Finance, Brokerage, Financial Services
Education
California State University-Long Beach - College of Business Administration 1987 — 1992
LPL Financial November 2012 - Present
Chase Investment Services, Corp. May 2009 - November 2012
WaMu Investments December 2006 - May 2009
WaMu Investments January 2005 - November 2006
WM Financial Services July 2002 - December 2004
Washington Mutual Bank July 2001 - June 2002
Washington Mutual Bank September 1999 - June 2001
Skills
Investments, Finance, Series 7, Series 63, Mutual Funds, Financial Services, Securities, Retirement Planning, Wealth Management, Investment Advisory, Equities, Fixed Annuities, Portfolio Management, Retirement, Asset Allocation, Series 65, Financial Advisory, Asset Management, Investment Strategies, Fixed Income, Series 6, Strategic Financial..., 401k
Education
Landmark Education 2006 — 2015
Ontology, Personal Training & Development
Series 65 2009 — 2009
Uniform Investment Advisor Law Examination, State Securities Law Exam, Passed - July 07, 2009
Series 63 2004 — 2004
Uniform Securities Agent State Law Examination, State Securities Law Exam, Passed - December 03, 2004
Series 7 2004 — 2004
General Securities Representative, General Industry/Product Exam, Passed - October 28, 2004
Citrus College 2000 — 2002
Music Business
Pasadena City College 1998 — 2002
Associate of Arts (AA), Music Performance Major
Providence High School 1994 — 1998
Cum Laude, Field of Study: Biology, Health Careers
Clarus Financial Group April 2007 - Present
WM Financial Services June 2005 - April 2007
Investment Professionals, Inc. September 2003 - October 2004
Oneamerica Securities November 2002 - August 2003
SertaA 2000 - 2001
Education
The University of Georgia 1997 — 2000
B.A., Speech Communication
CoreLogic 2004 - Present
WM Financial Services December 2001 - March 2004
American Express March 1997 - December 2001
Skills
Risk Management, Salesforce.com, Sales, Account Management, Sales Management, Insurance, New Business Development, Selling, Customer Service, Real Estate, Business Development, Team Building, Customer Retention, Cold Calling, Lead Generation, Leadership, Contract Negotiation, Training, Marketing, Strategic Planning, Budgets, Marketing Strategy
Education
Auburn University 1986 — 1989
BS, Business Administration, Management and Operations
Salesforce September 2015 - Present
Salesforce February 2014 - August 2015
Salesforce January 2012 - January 2014
HighMark Capital Management July 2009 - August 2011
Kensington Investment Group November 2007 - November 2008
AssetMark Investment Services October 2006 - September 2007
WM Financial Services July 2005 - September 2006
Skills
CRM, Investments, Mutual Funds, Salesforce.com, Asset Management, Business Development, SaaS, Securities, Capital Markets, Sales, Equities, Asset Allocation, Management, Wealth Management, Financial Services, Fixed Income, Strategy, Hedge Funds
Education
University of California, Santa Barbara 1999 — 2003
Bachelor's degree, Business Economics; Minor in Sports Management
Waddell & Reed May 2010 - Present
Karen Forslund Lare Consulting 2009 - May 2010
WaMu Investments 2007 - 2009
WM Financial Services 2005 - 2007
LPL Financial Services 1979 - 2004
Skills
Financial Services, Asset Managment, Management, Securities, Strategy, Strategic Financial..., Brokers, Mutual Funds
Education
University of California, San Diego 1977 — 1979
Biology
Ensi Insurance Services July 2012 - Present
Farmers Insurance January 2010 - June 2012
WM FINANCIAL SERVICES January 2007 - May 2008
WM Financial Services March 2000 - May 2008
Prudential Insurance August 1997 - February 1999
MONEY CONCEPT FINANCIAL PLANNING September 1996 - August 1997
American Savings Bank June 1989 - August 1996
Skills
Fixed Annuities, Insurance, Property & Casualty..., Term Life Insurance, Umbrella Insurance, Commercial Insurance, Homeowners, Casualty, Life Insurance, Commercial Lines, Renters, General Insurance, Whole Life, Liability, Universal Life, Health Insurance, Investments
Education
Saint Mary's College of California
B.S, Economics and Business Administration
Saint Mary's College of California
Bachelor of Science, Economics and Business Administration
Trump International Realty 2008 - Present
Washington Mutual 2004 - 2008
Washington Mutual 2001 - 2004
WM Financial Services 1993 - 2001
First Interstate Bank 1987 - 1989
Skills
CRM, Banking, Project Management, Sales Management, Leadership, Investments, Business Development, Management, Investment Properties, Sales, Mortgage Lending, Loans, Real Estate, FHA, Real Estate Transactions, Customer Service, Refinance, First Time Home Buyers, REO, Foreclosures, Residential Mortgages, Referrals, Mortgage Banking, Investors, Residential Homes
Education
University of California, Los Angeles
Ameriprise Financial Services October 2004 - Present
WM Financial Services September 1998 - October 2004
Caffey Trading April 1997 - December 1998
Merril Lynch May 1995 - April 1996
Bank of America Investment Services October 1991 - April 1995
Education
The University of Texas at Austin 1984 — 1989
Economics, Finance
Sam Rayburn
Los Angeles Firemen's Credit Union August 2007 - Present
INDEPENDENT FINANCIAL MARKETING GROUP 2006 - 2007
WM FINANCIAL SERVICES 2005 - 2006
A.G. Edwards & Sons, Inc. 2001 - 2005
H & R BLOCK FINANCIAL ADVISORS 1998 - 2001
CHIROPRACTIC HEALTH CLINIC 1993 - 1998
Skills
Direct Sales, Inside Sales, Sales Process, Clinical Supervision, Clinics, Case Management, Case Analysis, Medical, Orthopedics
Education
Cleveland Chiropractic College 1990 — 1993
D.C., Physiology
University of California, Berkeley 1983 — 1987
BA
CWS Investments September 2012 - Present
B. B. Graham & Co. August 2008 - September 2012
IFMG August 2007 - April 2008
DFC Investor Services May 2006 - July 2007
WM Financial Services July 2002 - May 2006
Skills
Securities, Compliance, Investments, Series 7, Asset Managment, Series 63, Risk Management, Strategic Financial..., Alternative Investments, Investment Advisory, Mutual Funds, Wealth Management, Equities, Series 24, Retirement Planning, FINRA, Asset Allocation, Trading, Series 65, Uniform Combined State..., Due Diligence, Portfolio Management, Hedge Funds, Fixed Income, Asset Management
Education
University of Pennsylvania - The Wharton School 2010 — 2011
CRCP, Certified Regulatory Compliance Professional
University of Southern California - Marshall School of Business 2000 — 2001
Bachelor of Science, Business Administration / Finance
Mt. San Antonio College 1995 — 1998
Associate of science, Accounting
The Access Partners October 2012 - Present
The Blackrock Group August 2005 - October 2012
WM Financial Services January 2002 - July 2005
Skills
Management, Restaurants, Key Account Development, Sales, Food Service, Sales Management, Key Account Management, New Business Development, Program Management, Pricing, Account Management, Supply Chain
Education
Hofstra University 2000 — 2002
Long Beach City College 1997 — 1999
Associates
Los Alamitos High School
State Farm Insurance February 2006 - Present
BankUnited December 2003 - February 2006
Washington Mutual Bank August 1999 - December 2003
WM Financial Services 2000 - 2003
The Miami Herald 1995 - 1999
Skills
Life Insurance, Insurance, Fixed Annuities, Retirement Planning, Motivational Speaking, Strategic Financial..., Investment Banking, Banking, College Savings Plans, Personal Financial..., Mutual Funds, Property & Casualty..., Public Speaking, Marketing, Variable Annuities, Whole Life, Health Insurance, Organizational..., Organizational..., Branding & Identity, Sales Management
Education
Florida International University 1996 — 2001
BA, Finance and Marketing
Edges Electrical Group January 2015 - Present
State of California 2007 - Present
Granite Electrical Supply Inc. August 2007 - December 2014
WM Financial Services 1996 - 1998
WM Financial Services 1996 - 1998
Skills
Credit Management, Collections, Customer Service, Negotiation, Accounts Receivable, Process Scheduler, Project Management, Credit, Finance, Sales, Management, Contract Negotiation, Team Building, Construction, Contract Management, Project Planning, Sales Operations, Team Leadership
Education
California State University-Sacramento 1984 — 1988
Bachelor of Arts (B.A.), Business/Corporate Communications
Swiss Re July 2005 - July 2009
WM Financial Services August 2003 - July 2005
UC Berkeley June 2000 - August 2002
Skills
Market Risk
Education
University of California, Los Angeles 2010 — 2012
Certificate in Accounting, Accounting
University of California, Berkeley 1999 — 2002
Bachelors, Economics
Huntington Financial Services Co. May 2004 - Present
WM Financial Services February 1995 - May 2004
Prudential Financial February 1992 - February 1994
Paine Webber April 1987 - February 1992
EF Hutton November 1984 - April 1987
Skills
Retirement Planning, Wealth Preservation..., 401k Rollovers, 403 b, SEP IRA, Guaranteed Retirement..., Investments, Series 63, Investment Management, Mutual Funds, Estate Planning, Financial Advisory, Investment Advisory, Retirement, Investment Strategies, Series 7
Education
University of Southern California 1981 — 1984
BS, School of Policy, Planning and Development
Citi Private Bank 2005 - Present
WM Financial Services 2003 - 2004
Securian Financial Group 2002 - 2003
Merrill Lynch 1999 - 2002
Skills
Portfolio Management, Process Improvement, Banking, Wealth Management, Financial Analysis
Education
San Francisco State University
BS, Business
Union Banc Investment Services July 2009 - Present
Transamerica April 2008 - May 2009
The Guardian Life Insurance Company of America June 2007 - April 2008
Nationwide Financial April 2005 - May 2007
PLANCO May 2003 - February 2005
Federated Investors March 2000 - May 2003
WM Financial Services 1996 - 2000
Skills
Securities..., 63, 65, Marketing, Wealth Management, Series 7, Asset Allocation, Fixed Annuities, Variable Annuities, Sales, Mutual Funds, Finance, Retirement, Retirement Planning, Series 63, Separately Managed..., Series 65, Financial Advisory, Investments
Education
Hanover College 1986 — 1990
B.B. Graham & Co. October 2010 - Present
B.B. Graham & Co. October 2010 - Present
BC Alternatives, LLC February 2007 - Present
Financial Partners Credit Union September 2008 - October 2010
DFC Investor Services March 2001 - March 2009
IFMG October 2007 - April 2008
Financial Industry Regulatory Authority (NASD) June 1998 - April 2001
WM Financial Services June 1998 - June 1999
Morgan Stanley October 1996 - June 1998
Skills
Investments, Mutual Funds, Options, Financial Planning, Insurance, Retirement Planning, Arbitration, CLU, Securities, Financial Markets, Investment Advisory, Asset Management, Wealth Management, Trading, Executive Management, Asset, Equities, Series 7, Compliance, FINRA, Dividends, Financial Services, Fixed Annuities
Education
University of California, Riverside - A. Gary Anderson Graduate School of Management
MBA
Missouri Southern State University
B.S. / B.A.
The American College
CFP ® , ChFC, CLU
Principal Funds January 2011 - Present
Principal Funds 2006 - 2010
WM Group of Funds 2004 - 2006
WM Group of Funds 2002 - 2004
WM Group of Funds 2001 - 2002
WM Group of Funds 2000 - 2001
WM Financial Services 1999 - 2000
Fortis Financial Group 1998 - 1999
Skills
Business Development, Retirement, Investments, Mutual Funds, Series 7, Series 63, Retirement Planning, Asset Management, Securities, Series 24, Relationship Management
Education
UC Irvine 1994 — 1998
Bachelor of Arts (B.A.), Economics
JPMorgan Chase April 2014 - Present
Wells Fargo November 2012 - April 2014
Bank of America November 2005 - November 2012
WM Financial Services November 2003 - March 2005
Education
Auburn University 1996 — 2001
Bachelor of Science (BS), German International Trade
Metro Transit Security / Securitas October 2010 - Present
South Point Hotel & Casino January 2007 - June 2010
WM Financial Services June 2001 - June 2006
Euro Pacific Capital June 2000 - June 2001
Morgan Stanley January 1999 - June 2000
Skills
Finance, Surveillance, Equities, Securities, Insurance, Casino, Risk Management, Gaming Industry, Training, Analysis, Financial Risk, Policy, Trading, Portfolio Management, Financial Analysis, Financial Markets, Retirement Planning, Banking, Supervisory Skills, Mutual Funds, Operations Management, Derivatives
Education
San Diego State University-California State University
Business Administration and Management, General