Advisors Asset Management, Inc.
Industry: Financial services company
DescriptionEstablished in 1979, Advisors Asset Management, Inc. has been a resource that provides investment products and portfolio support to broker-dealers and advisors. Headquarters: Monument, CO Founded: 1979 Area served: United States of America
Advisors Asset Management, Inc. List of Employees There's an exhaustive list of past and present employees! Get comprehensive information on the number of employees at Advisors Asset Management, Inc.. You can filter them based on skills, years of employment, job, education, department, and prior employment.
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Advisors Asset Management, Inc. Employees
Employee
Years
Job
Industry
John Sacchetti John Sacchetti's Advisors Asset Management, Inc. Experience March 2003 - May 2008
Job Senior Vice President Director of Capital Markets at Investment Professionals, Inc.
Industry Financial Services
Experience
Investment Professionals, Inc. February 2009 - Present
Advisors Asset Management, Inc. March 2003 - May 2008
Merrill Lynch February 1999 - April 2003
Skills
Portfolio Management, Asset Management, Fixed Income, Capital Markets, Finance, Trading, Teaching, Customer Service, Financial Advisory, Business Development, Municipal Trading, Risk Management, Business Unit Start-up, Electronic Trading..., Municipal Trading...
Education
Manhattan College 1989 — 1993
Bachelor of Science (B.S.), Mathematics
La Salle academy 1980 — 1984
Investment Professionals, Inc. February 2009 - Present
Advisors Asset Management, Inc. March 2003 - May 2008
Merrill Lynch February 1999 - April 2003
Skills
Portfolio Management, Asset Management, Fixed Income, Capital Markets, Finance, Trading, Teaching, Customer Service, Financial Advisory, Business Development, Municipal Trading, Risk Management, Business Unit Start-up, Electronic Trading..., Municipal Trading...
Education
Manhattan College 1989 — 1993
Bachelor of Science (B.S.), Mathematics
La Salle academy 1980 — 1984
Kami Vidor Kami Vidor's Advisors Asset Management, Inc. Experience August 2007 - December 2013
Job Agent Intern at State Farm
Industry Financial Services
Experience
State Farm May 2014 - Present
Advisors Asset Management, Inc. August 2007 - December 2013
USAA 2005 - 2007
Skills
Insurance, Financial Services, Banking, Series 7, Fixed Income, Mutual Funds, Securities, Retirement Planning, Alternative Investments, Asset Allocation, Bonds, Wealth Management, Investment Strategies, Investments, Asset Management, Portfolio Management, Investment Advisory
Education
St. Mary's University 1985 — 1989
BBA, Finance
State Farm May 2014 - Present
Advisors Asset Management, Inc. August 2007 - December 2013
USAA 2005 - 2007
Skills
Insurance, Financial Services, Banking, Series 7, Fixed Income, Mutual Funds, Securities, Retirement Planning, Alternative Investments, Asset Allocation, Bonds, Wealth Management, Investment Strategies, Investments, Asset Management, Portfolio Management, Investment Advisory
Education
St. Mary's University 1985 — 1989
BBA, Finance
Leah Bredemeyer Leah Bredemeyer's Advisors Asset Management, Inc. Experience February 2015 - Present
Job Graphic Design Associate at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. February 2015 - Present
Coldwell Banker D'Ann Harper, REALTORS June 2013 - February 2015
SMV Texas, LLC September 2011 - June 2013
AD Ideas Media July 2007 - September 2011
Skills
Photography, Web Design, Writing, Graphic Design, Facebook, Public Relations, Advertising, Social Media Marketing, Social Media, Marketing, InDesign, Press Releases, Newsletters, Event Planning, Copywriting, Corporate Communications, Marketing Strategy, Photoshop, Blogging, Copy Editing, Magazines, New Media, Public Speaking, Illustrator
Education
Angelo State University 2003 — 2006
Bachelor of Arts (BA), Journalism
Winters High School 1999 — 2003
High School Degree, High School/Secondary Diploma Programs
Advisors Asset Management, Inc. February 2015 - Present
Coldwell Banker D'Ann Harper, REALTORS June 2013 - February 2015
SMV Texas, LLC September 2011 - June 2013
AD Ideas Media July 2007 - September 2011
Skills
Photography, Web Design, Writing, Graphic Design, Facebook, Public Relations, Advertising, Social Media Marketing, Social Media, Marketing, InDesign, Press Releases, Newsletters, Event Planning, Copywriting, Corporate Communications, Marketing Strategy, Photoshop, Blogging, Copy Editing, Magazines, New Media, Public Speaking, Illustrator
Education
Angelo State University 2003 — 2006
Bachelor of Arts (BA), Journalism
Winters High School 1999 — 2003
High School Degree, High School/Secondary Diploma Programs
Adam Peters, CFP®, ChFC® Adam Peters, CFP®, ChFC®'s Advisors Asset Management, Inc. Experience April 2010 - August 2010
Job Financial Advisor at Hanson McClain Advisors
Industry Financial Services
Experience
Hanson McClain Advisors June 2014 - Present
OppenheimerFunds September 2010 - February 2014
Advisors Asset Management, Inc. April 2010 - August 2010
A&I Financial Services October 2009 - March 2010
Foos Financial Group June 2005 - September 2009
Jackson National Life November 2001 - May 2005
Janus Capital Group June 1999 - April 2001
Skills
Investments, Financial Planning, Financial Markets, Series 7, Mutual Funds, Annuities, Series 63, Estate Planning, Alternative Investments, Securities, Insurance, Retirement Planning, Sales Management, Public Speaking, Investment Strategies, Strategic Planning, Business Planning, Capital Markets, Wholesaling, 401k, Investment Advisory, Wealth Management, Financial Advisory, Portfolio Management, Asset Management, Financial Services, Investment Management, Strategic Financial..., Budgets, Fixed Annuities, Team Leadership, Financial Risk, Roth IRA, Recruiting, Qualified Retirement..., Succession Planning, Small Business
Education
Colorado State University 1995 — 1999
BS, Business Administration, Marketing
Cherry Creek High School 1991 — 1995
High School, High School Diploma
Hanson McClain Advisors June 2014 - Present
OppenheimerFunds September 2010 - February 2014
Advisors Asset Management, Inc. April 2010 - August 2010
A&I Financial Services October 2009 - March 2010
Foos Financial Group June 2005 - September 2009
Jackson National Life November 2001 - May 2005
Janus Capital Group June 1999 - April 2001
Skills
Investments, Financial Planning, Financial Markets, Series 7, Mutual Funds, Annuities, Series 63, Estate Planning, Alternative Investments, Securities, Insurance, Retirement Planning, Sales Management, Public Speaking, Investment Strategies, Strategic Planning, Business Planning, Capital Markets, Wholesaling, 401k, Investment Advisory, Wealth Management, Financial Advisory, Portfolio Management, Asset Management, Financial Services, Investment Management, Strategic Financial..., Budgets, Fixed Annuities, Team Leadership, Financial Risk, Roth IRA, Recruiting, Qualified Retirement..., Succession Planning, Small Business
Education
Colorado State University 1995 — 1999
BS, Business Administration, Marketing
Cherry Creek High School 1991 — 1995
High School, High School Diploma
Cody Garcia Cody Garcia's Advisors Asset Management, Inc. Experience September 2008 - Present
Job Internal Sales Consultant at Advisors Asset Management
Industry Financial Services
Experience
Advisors Asset Management, Inc. September 2008 - Present
Waddell & Reed July 2007 - August 2008
HEB April 1999 - June 2007
Skills
Series 7, Investments, Mutual Funds, Series 63, CRM, Alternative Investments, Portfolio Management, Sales, Securities, Bonds
Education
Texas A&M University-Corpus Christi 2000 — 2002
Bachelor of Science (BSc), Business Administration and Management, General
Del Mar College 1998 — 1999
Associate's degree, Business Administration and Management, General
Advisors Asset Management, Inc. September 2008 - Present
Waddell & Reed July 2007 - August 2008
HEB April 1999 - June 2007
Skills
Series 7, Investments, Mutual Funds, Series 63, CRM, Alternative Investments, Portfolio Management, Sales, Securities, Bonds
Education
Texas A&M University-Corpus Christi 2000 — 2002
Bachelor of Science (BSc), Business Administration and Management, General
Del Mar College 1998 — 1999
Associate's degree, Business Administration and Management, General
Robert Trevino Robert Trevino's Advisors Asset Management, Inc. Experience November 2002 - August 2010
Job VP Distribution at Integrity Aviation, LLC
Industry Financial Services
Experience
Integrity Aviation, LLC January 2015 - Present
Fulcrum Point Financial May 2014 - January 2015
Investment Professionals, Inc. December 2011 - February 2013
Wehring Wealth Management October 2010 - November 2011
Advisors Asset Management, Inc. November 2002 - August 2010
Charles Schwab April 1994 - April 2001
Skills
Series 7, Investments, Mutual Funds, Series 63, Fixed Income, SERIES 66, Bloomberg Terminal, Securities, Investment Advisory, Wealth Management, Portfolio Management, Asset Allocation, Investment Strategies, Retirement Planning, Retirement, Strategic Financial..., Fixed Annuities, IRAs, Estate Planning, Asset Management, Equities, Long-term Care, Life Insurance, Options, FINRA, Trading, ETFs, Bonds, Bloomberg, Alternative Investments, Electronic Trading, Financial Advisory, Uniform Combined State..., Capital Markets, Financial Services, Financial Markets, Derivatives, Financial Planning
Education
The University of Texas at San Antonio
St. Mary's University
Integrity Aviation, LLC January 2015 - Present
Fulcrum Point Financial May 2014 - January 2015
Investment Professionals, Inc. December 2011 - February 2013
Wehring Wealth Management October 2010 - November 2011
Advisors Asset Management, Inc. November 2002 - August 2010
Charles Schwab April 1994 - April 2001
Skills
Series 7, Investments, Mutual Funds, Series 63, Fixed Income, SERIES 66, Bloomberg Terminal, Securities, Investment Advisory, Wealth Management, Portfolio Management, Asset Allocation, Investment Strategies, Retirement Planning, Retirement, Strategic Financial..., Fixed Annuities, IRAs, Estate Planning, Asset Management, Equities, Long-term Care, Life Insurance, Options, FINRA, Trading, ETFs, Bonds, Bloomberg, Alternative Investments, Electronic Trading, Financial Advisory, Uniform Combined State..., Capital Markets, Financial Services, Financial Markets, Derivatives, Financial Planning
Education
The University of Texas at San Antonio
St. Mary's University
Heather Mizuno, CPA's Advisors Asset Management, Inc. Experience April 2008 - Present
Job Controller Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. April 2008 - Present
Capital Group Companies June 1997 - August 2007
Skills
Financial Reporting, Accounts Receivable, Financial Analysis, Financial Services, Financial Accounting, Variance Analysis, Microsoft Dynamics SL, Management, Excel, Quickbooks, Financial Forecasting, SAP, Outlook, PowerPoint, Internal Control..., Revenue Analysis, Revenue Recognition, Business Analysis, Business Process..., Budget Process, Management Reporter, Accounts Payable, End User Training, Account Reconciliation, Business Efficiency, Sales Compensation, G/L Reconciliations, Adaptive Planning, Mutual Fund Accounting, Planning, Finance, QuickBooks, Microsoft Excel, Strategic Financial..., Accounting, FRx, Mutual Funds, Series 7, Analysis, Budgets
Education
California State Polytechnic University-Pomona 1994 — 1997
Bachelors, Accounting
Community College of Aurora 1992 — 1994
Associates, Arts
Advisors Asset Management, Inc. April 2008 - Present
Capital Group Companies June 1997 - August 2007
Skills
Financial Reporting, Accounts Receivable, Financial Analysis, Financial Services, Financial Accounting, Variance Analysis, Microsoft Dynamics SL, Management, Excel, Quickbooks, Financial Forecasting, SAP, Outlook, PowerPoint, Internal Control..., Revenue Analysis, Revenue Recognition, Business Analysis, Business Process..., Budget Process, Management Reporter, Accounts Payable, End User Training, Account Reconciliation, Business Efficiency, Sales Compensation, G/L Reconciliations, Adaptive Planning, Mutual Fund Accounting, Planning, Finance, QuickBooks, Microsoft Excel, Strategic Financial..., Accounting, FRx, Mutual Funds, Series 7, Analysis, Budgets
Education
California State Polytechnic University-Pomona 1994 — 1997
Bachelors, Accounting
Community College of Aurora 1992 — 1994
Associates, Arts
Beatrice Anna Zarazua's Advisors Asset Management, Inc. Experience 2012 - 2012
Job Civil Litigation Paralegal
Industry Legal Services
Experience
Law Office of Suppa, Trucchi & Henein LLC July 2015 - Present
Project Mexico & St. Innocent Orphanage February 2014 - July 2015
Union Bank March 2013 - September 2013
Advisors Asset Management, Inc. 2012 - 2012
BD May 2000 - April 2004
Education
University of San Diego 2014 — 2015
Paralegal Certificate
Cuyamaca College 2003 — 2003
Environmental Engineering Technology/Environmental Technology
El Dorado College 1994 — 1995
Legal Administrative Assistant/Secretary
Law Office of Suppa, Trucchi & Henein LLC July 2015 - Present
Project Mexico & St. Innocent Orphanage February 2014 - July 2015
Union Bank March 2013 - September 2013
Advisors Asset Management, Inc. 2012 - 2012
BD May 2000 - April 2004
Education
University of San Diego 2014 — 2015
Paralegal Certificate
Cuyamaca College 2003 — 2003
Environmental Engineering Technology/Environmental Technology
El Dorado College 1994 — 1995
Legal Administrative Assistant/Secretary
Steven Majoris Steven Majoris's Advisors Asset Management, Inc. Experience December 2014 - Present
Job Portfolio Administrator with Advisors Asset Management
Industry Investment Management
Experience
Advisors Asset Management, Inc. December 2014 - Present
Financial Resources / The Investment Center, Inc. December 2013 - October 2014
Lincoln Financial Advisors May 2013 - September 2013
Aerial Photos of NJ December 2012 - January 2013
Northwestern Mutual May 2012 - July 2012
College Works Painting March 2011 - August 2011
Skills
Entrepreneurship, Life & Health Insurance..., Microsoft Office, Risk Management, Microsoft Excel, Investments, Mutual Funds, Strategic Financial..., Portfolio Management, Financial Modeling, Insurance, Budgets, Finance, Financial Services
Education
Rowan University 2009 — 2013
Bachelor of Science, Business Admin: Finance
Advisors Asset Management, Inc. December 2014 - Present
Financial Resources / The Investment Center, Inc. December 2013 - October 2014
Lincoln Financial Advisors May 2013 - September 2013
Aerial Photos of NJ December 2012 - January 2013
Northwestern Mutual May 2012 - July 2012
College Works Painting March 2011 - August 2011
Skills
Entrepreneurship, Life & Health Insurance..., Microsoft Office, Risk Management, Microsoft Excel, Investments, Mutual Funds, Strategic Financial..., Portfolio Management, Financial Modeling, Insurance, Budgets, Finance, Financial Services
Education
Rowan University 2009 — 2013
Bachelor of Science, Business Admin: Finance
Kelly Russell's Advisors Asset Management, Inc. Experience April 2008 - October 2013
Job Vice President Trading Services at Pershing LLC., a BNY Mellon Company
Industry Financial Services
Experience
Pershing LLC., a BNY Mellon Company April 2014 - Present
Advisors Asset Management, Inc. April 2008 - October 2013
Outdoor Living Inc. May 2006 - March 2008
DWS Investments (Formerly Zurich Scudder and Kemper Financial) December 2002 - April 2006
Zurich Scudder Annuities, Inc. (Formerly Kemper Financial) February 1996 - November 2002
Everen Securities, Inc, (Formerly Kemper Financial) December 1991 - January 1996
Kemper Financial January 1985 - November 1991
Petro Lewis Securities February 1982 - December 1985
Briggs Oldsmobile & Cadillac Dealer July 1979 - January 1982
Skills
Investments, Series 63, Fixed Income, Series 7, Mutual Funds, Securities, Fixed Annuities, Structured Products, Asset Allocation, Sales, Alternative Investments, Insurance, Equities, Separately Managed..., Asset Management, Wealth Management, Strategic Planning, Investment Advisory, Sales Management, ETFs, Bonds, Investment Strategies
Education
Southwestern College 1978 — 1980
Business
Pershing LLC., a BNY Mellon Company April 2014 - Present
Advisors Asset Management, Inc. April 2008 - October 2013
Outdoor Living Inc. May 2006 - March 2008
DWS Investments (Formerly Zurich Scudder and Kemper Financial) December 2002 - April 2006
Zurich Scudder Annuities, Inc. (Formerly Kemper Financial) February 1996 - November 2002
Everen Securities, Inc, (Formerly Kemper Financial) December 1991 - January 1996
Kemper Financial January 1985 - November 1991
Petro Lewis Securities February 1982 - December 1985
Briggs Oldsmobile & Cadillac Dealer July 1979 - January 1982
Skills
Investments, Series 63, Fixed Income, Series 7, Mutual Funds, Securities, Fixed Annuities, Structured Products, Asset Allocation, Sales, Alternative Investments, Insurance, Equities, Separately Managed..., Asset Management, Wealth Management, Strategic Planning, Investment Advisory, Sales Management, ETFs, Bonds, Investment Strategies
Education
Southwestern College 1978 — 1980
Business
Matthew Wilke, CRPC® Matthew Wilke, CRPC®'s Advisors Asset Management, Inc. Experience August 2013 - Present
Job Internal Sales Consultant, Advisors Asset Management
Industry Financial Services
Experience
Advisors Asset Management, Inc. August 2013 - Present
Allianz Life July 2010 - August 2013
Merrill Lynch July 2006 - July 2010
GunnAllen Financial/National Securities October 2005 - July 2006
Adroc productions January 2004 - June 2005
Skills
Series 63, Series 7, Chartered Retirement..., Life & Health Insurance..., Retirement, Fixed Annuities, Investments, Financial Services, Variable Annuities, IRAs, Sales, Retirement Planning, FINRA, Securities, Financial Advisory, Mutual Funds, Strategic Financial...
Education
DePaul University 2001 — 2004
Bachelor of Science, Marketing
Adlai E Stevenson High School 1997 — 2001
Advisors Asset Management, Inc. August 2013 - Present
Allianz Life July 2010 - August 2013
Merrill Lynch July 2006 - July 2010
GunnAllen Financial/National Securities October 2005 - July 2006
Adroc productions January 2004 - June 2005
Skills
Series 63, Series 7, Chartered Retirement..., Life & Health Insurance..., Retirement, Fixed Annuities, Investments, Financial Services, Variable Annuities, IRAs, Sales, Retirement Planning, FINRA, Securities, Financial Advisory, Mutual Funds, Strategic Financial...
Education
DePaul University 2001 — 2004
Bachelor of Science, Marketing
Adlai E Stevenson High School 1997 — 2001
Nathan Carlson's Advisors Asset Management, Inc. Experience August 2009 - July 2010
Job Vice President at First Trust Advisors L.P.
Industry Investment Management
Experience
First Trust Advisors L.P. July 2010 - Present
Advisors Asset Management, Inc. August 2009 - July 2010
Van Kampen Investments January 2008 - July 2009
Van Kampen Investments October 2005 - December 2007
Skills
Public Speaking, Investments, ETFs, Mutual Funds, SMA, Hold Series 7, Series 65
Education
Miami University 1999 — 2003
Bachelor of Business Administration (BBA), Finance Major, International Business Minor
First Trust Advisors L.P. July 2010 - Present
Advisors Asset Management, Inc. August 2009 - July 2010
Van Kampen Investments January 2008 - July 2009
Van Kampen Investments October 2005 - December 2007
Skills
Public Speaking, Investments, ETFs, Mutual Funds, SMA, Hold Series 7, Series 65
Education
Miami University 1999 — 2003
Bachelor of Business Administration (BBA), Finance Major, International Business Minor
Justin McLaughlin Justin McLaughlin's Advisors Asset Management, Inc. Experience July 2010 - June 2011
Job Agency Principal at McLaughlin Associates
Industry Insurance
Experience
McLaughlin Associates November 2013 - Present
First Allied Securities July 2011 - January 2013
Advisors Asset Management, Inc. July 2010 - June 2011
Waddell & Reed November 2008 - May 2010
Roster Financial May 2007 - December 2007
Skills
Strategic Financial..., Finance, Accounts Payable, Financial Planning, Retirement Planning, Analysis, Sales, Bonds, Mutual Funds, Wealth Management, Investments, Securities, Equities, Financial Risk, Asset Management, Financial Services, Portfolio Management, Series 7, Fixed Income, Financial Analysis, Real Estate, Financial Modeling, Series 63, Bloomberg
Education
La Salle University 2004 — 2008
Bachelor of Science, Finance
La Salle University 2004 — 2008
Bachelor of Science (BS), Finance, General
McLaughlin Associates November 2013 - Present
First Allied Securities July 2011 - January 2013
Advisors Asset Management, Inc. July 2010 - June 2011
Waddell & Reed November 2008 - May 2010
Roster Financial May 2007 - December 2007
Skills
Strategic Financial..., Finance, Accounts Payable, Financial Planning, Retirement Planning, Analysis, Sales, Bonds, Mutual Funds, Wealth Management, Investments, Securities, Equities, Financial Risk, Asset Management, Financial Services, Portfolio Management, Series 7, Fixed Income, Financial Analysis, Real Estate, Financial Modeling, Series 63, Bloomberg
Education
La Salle University 2004 — 2008
Bachelor of Science, Finance
La Salle University 2004 — 2008
Bachelor of Science (BS), Finance, General
Brian Lowrance, CFP® Brian Lowrance, CFP®'s Advisors Asset Management, Inc. Experience March 2007 - April 2008
Job Founder & Investment Advisor at Softwealth
Industry Financial Services
Experience
Softwealth June 2015 - Present
Wilshire Finance Partners January 2015 - May 2015
Promontory Interfinancial Network November 2011 - November 2014
Promontory Interfinancial Network June 2008 - November 2011
Advisors Asset Management, Inc. March 2007 - April 2008
LPL Financial October 2005 - March 2007
Skills
Investments, Portfolio Management, Business Development, Series 7, Retirement, Financial Advisory, Sales, Mutual Funds, Finance, Retirement Planning, Capital Markets, Asset Management, Financial Analysis, Bonds, Wealth Management, Equities, Financial Services, Alternative Investments, Securities, Banking, Risk Management, Management, Financial Planning, Series 63
Education
California Polytechnic State University-San Luis Obispo 2001 — 2005
BS, Business Administration
Softwealth June 2015 - Present
Wilshire Finance Partners January 2015 - May 2015
Promontory Interfinancial Network November 2011 - November 2014
Promontory Interfinancial Network June 2008 - November 2011
Advisors Asset Management, Inc. March 2007 - April 2008
LPL Financial October 2005 - March 2007
Skills
Investments, Portfolio Management, Business Development, Series 7, Retirement, Financial Advisory, Sales, Mutual Funds, Finance, Retirement Planning, Capital Markets, Asset Management, Financial Analysis, Bonds, Wealth Management, Equities, Financial Services, Alternative Investments, Securities, Banking, Risk Management, Management, Financial Planning, Series 63
Education
California Polytechnic State University-San Luis Obispo 2001 — 2005
BS, Business Administration
Jason Lauderback, CIMA®, CFS® Jason Lauderback, CIMA®, CFS®'s Advisors Asset Management, Inc. Experience October 2009 - May 2010
Job Associate Vice President National Account Manager at Calamos Investments
Industry Financial Services
Experience
Calamos Investments February 2011 - Present
Advisors Asset Management, Inc. October 2009 - May 2010
DWS Investments June 2006 - December 2008
DWS Investments April 2005 - June 2006
Washington Mutual November 2003 - March 2005
AXA Advisors 2002 - 2003
U.S. ARMY 1993 - 1996
Skills
Business Development, Investments, Financial Services, Finance, Asset Allocation, Retirement Planning, Investment Strategies, Financial Advisory, Investment Management, Mutual Funds, Series 7, Series 63, Asset Management, Alternative Investments, Relationship Management, Securities, 401k, Retirement, Separately Managed..., Insurance, New Business Development, Financial Markets, Salesforce.com, CRM, Series 65, Sales Presentations, FINRA, Marketing
Education
Loyola University Chicago 2000 — 2001
MBA, Marketing, eCommerce, and Int'l Business
Southern Illinois University, Carbondale 1997 — 1999
Bachelor of Science, Management
Calamos Investments February 2011 - Present
Advisors Asset Management, Inc. October 2009 - May 2010
DWS Investments June 2006 - December 2008
DWS Investments April 2005 - June 2006
Washington Mutual November 2003 - March 2005
AXA Advisors 2002 - 2003
U.S. ARMY 1993 - 1996
Skills
Business Development, Investments, Financial Services, Finance, Asset Allocation, Retirement Planning, Investment Strategies, Financial Advisory, Investment Management, Mutual Funds, Series 7, Series 63, Asset Management, Alternative Investments, Relationship Management, Securities, 401k, Retirement, Separately Managed..., Insurance, New Business Development, Financial Markets, Salesforce.com, CRM, Series 65, Sales Presentations, FINRA, Marketing
Education
Loyola University Chicago 2000 — 2001
MBA, Marketing, eCommerce, and Int'l Business
Southern Illinois University, Carbondale 1997 — 1999
Bachelor of Science, Management
Dan McGouran / 1000+ Connections Dan McGouran / 1000+ Connections's Advisors Asset Management, Inc. Experience January 2013 - January 2014
Job Regional Vice President, Incapital Wealth Management Solutions covering Texas | Oklahoma | Louisiana
Industry Financial Services
Experience
Incapital Wealth Management Solutions December 2014 - Present
Stadion Money Management April 2014 - December 2014
Edward Jones January 2014 - March 2014
Advisors Asset Management, Inc. January 2013 - January 2014
Advisors Asset Management April 2009 - December 2012
ClientWise, LLC July 2008 - March 2009
MS Society - Greater North Jersey Chapter July 2007 - January 2009
Greater North Jersey MS Society January 2007 - January 2009
LPL Financial Services August 2007 - July 2008
AllianceBernstein 2000 - 2007
Skills
Retirement Planning, Fixed Income, Wealth Management, Financial Services, Series 7, Financial Advisory, Retirement, SMA, Unit Investment Trusts, Finance, ETFs, Investment Management, Strategy, Asset Allocation, Leadership, Securities, Relationship Management, Alternative Investments, Mutual Funds, Investments, Series 63, Investment Advisory
Education
Manhattan College 1998 — 2001
Bachelor's degree, Organizational Leadership
Paramus Catholic 1984 — 1986
Incapital Wealth Management Solutions December 2014 - Present
Stadion Money Management April 2014 - December 2014
Edward Jones January 2014 - March 2014
Advisors Asset Management, Inc. January 2013 - January 2014
Advisors Asset Management April 2009 - December 2012
ClientWise, LLC July 2008 - March 2009
MS Society - Greater North Jersey Chapter July 2007 - January 2009
Greater North Jersey MS Society January 2007 - January 2009
LPL Financial Services August 2007 - July 2008
AllianceBernstein 2000 - 2007
Skills
Retirement Planning, Fixed Income, Wealth Management, Financial Services, Series 7, Financial Advisory, Retirement, SMA, Unit Investment Trusts, Finance, ETFs, Investment Management, Strategy, Asset Allocation, Leadership, Securities, Relationship Management, Alternative Investments, Mutual Funds, Investments, Series 63, Investment Advisory
Education
Manhattan College 1998 — 2001
Bachelor's degree, Organizational Leadership
Paramus Catholic 1984 — 1986
Matthew J Barnes Matthew J Barnes's Advisors Asset Management, Inc. Experience May 2010 - August 2010
Job Fixed Income Specialist at FactSet
Industry Financial Services
Experience
FactSet May 2014 - Present
FactSet Research Systems August 2011 - April 2014
Advisors Asset Management, Inc. May 2010 - August 2010
Skills
Financial Analysis, Fixed Income, Financial Modeling, Credit Analysis, Portfolio Performance..., Equities, Equity Research, Option Pricing Models, Sales, Hedge Funds, Financial Markets, Bloomberg Terminal
Education
Bryant University 2007 — 2011
Bachelors of Science in Business Administration, Finance
Cass Business School 2010 — 2010
FactSet May 2014 - Present
FactSet Research Systems August 2011 - April 2014
Advisors Asset Management, Inc. May 2010 - August 2010
Skills
Financial Analysis, Fixed Income, Financial Modeling, Credit Analysis, Portfolio Performance..., Equities, Equity Research, Option Pricing Models, Sales, Hedge Funds, Financial Markets, Bloomberg Terminal
Education
Bryant University 2007 — 2011
Bachelors of Science in Business Administration, Finance
Cass Business School 2010 — 2010
Jonathan Luoto's Advisors Asset Management, Inc. Experience November 2012 - Present
Job Fixed Income Service Consultant
Industry Financial Services
Experience
Advisors Asset Management, Inc. November 2012 - Present
Skills
Fixed Income, Trading, Bloomberg, Financial Modeling, Series 7, Capital Markets, Securities, Alternative Investments, Investments, Asset Allocation, Asset Management
Education
Cornell University 2006 — 2009
BS, Applied Economics
Advisors Asset Management, Inc. November 2012 - Present
Skills
Fixed Income, Trading, Bloomberg, Financial Modeling, Series 7, Capital Markets, Securities, Alternative Investments, Investments, Asset Allocation, Asset Management
Education
Cornell University 2006 — 2009
BS, Applied Economics
David Telson's Advisors Asset Management, Inc. Experience 2009 - 2009
Job Research Assistant to Professor Roger S. Clark and member 2014 Jessup International Moot Court competition team
Industry Legal Services
Experience
Roger S. Clark August 2014 - Present
Rutgers Law School August 2012 - Present
Nash Law Firm May 2014 - August 2014
The Lanier Law Firm May 2013 - June 2013
Hilltop U.S.A./Urban Sales, New York, NY November 2011 - January 2012
Lombardi and Lombardi, Attorneys at Law June 2009 - August 2009
Advisors Asset Management, Inc. 2009 - 2009
Conde Nast June 2007 - August 2008
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, PowerPoint, Customer Service, Research, Photoshop, English, Windows, Outlook, Budget, C++
Education
Rutgers University School of Law - Camden 2013 — 2015
Juris Doctor (J.D.)
Rutgers, The State University of New Jersey-New Brunswick 2007 — 2011
Bachelor's degree, Honors History and Economics, 3.5
John Cabot University, Rome, Italy 2010 — 2010
Rutgers University School of Law - Camden
Rutgers University School of Law - Camden
Roger S. Clark August 2014 - Present
Rutgers Law School August 2012 - Present
Nash Law Firm May 2014 - August 2014
The Lanier Law Firm May 2013 - June 2013
Hilltop U.S.A./Urban Sales, New York, NY November 2011 - January 2012
Lombardi and Lombardi, Attorneys at Law June 2009 - August 2009
Advisors Asset Management, Inc. 2009 - 2009
Conde Nast June 2007 - August 2008
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, PowerPoint, Customer Service, Research, Photoshop, English, Windows, Outlook, Budget, C++
Education
Rutgers University School of Law - Camden 2013 — 2015
Juris Doctor (J.D.)
Rutgers, The State University of New Jersey-New Brunswick 2007 — 2011
Bachelor's degree, Honors History and Economics, 3.5
John Cabot University, Rome, Italy 2010 — 2010
Rutgers University School of Law - Camden
Rutgers University School of Law - Camden
Steve Iatarola's Advisors Asset Management, Inc. Experience June 2011 - Present
Job Vice President Institutional Sales at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. June 2011 - Present
Beneficial Bank September 2010 - April 2011
Commerce Capital Markets August 2007 - November 2008
RBC Capital Markets 2000 - 2004
Legg Mason 1996 - 1999
Tucker Anthony 1993 - 1996
Merrill Lynch 1990 - 1993
Skills
Bonds, Finance, Fixed Income, Investments
Education
Saint Joseph's University 1986 — 1990
BS, Finance
Saint Joseph's University 1986 — 1990
Bachelor's degree, Finance, General
Advisors Asset Management, Inc. June 2011 - Present
Beneficial Bank September 2010 - April 2011
Commerce Capital Markets August 2007 - November 2008
RBC Capital Markets 2000 - 2004
Legg Mason 1996 - 1999
Tucker Anthony 1993 - 1996
Merrill Lynch 1990 - 1993
Skills
Bonds, Finance, Fixed Income, Investments
Education
Saint Joseph's University 1986 — 1990
BS, Finance
Saint Joseph's University 1986 — 1990
Bachelor's degree, Finance, General
Christopher Cortes Christopher Cortes's Advisors Asset Management, Inc. Experience March 2011 - November 2012
Job Business Systems Analyst at Renovate America
Industry Information Technology and Services
Experience
Renovate America August 2015 - Present
Encore Capital Group March 2013 - August 2015
LPL Financial November 2012 - February 2013
Advisors Asset Management, Inc. March 2011 - November 2012
iTRACS Corporation March 2010 - January 2011
Pearson August 2009 - January 2010
CSAA September 2007 - November 2008
Mutual Bank of Omaha April 2005 - September 2007
Fidelity National Financial August 2001 - April 2005
Skills
Databases, MS Project, Visio, Agile Methodologies, SDLC, Business Analysis, SharePoint, Quality Assurance, Project Management, Requirements Analysis, Team Leadership, ITIL, Process Improvement, Access, Vendor Management, Requirements Gathering, SQL, Microsoft SQL Server, Software Documentation, Program Management
Education
University of Phoenix 2012 — 2014
B.S. Business Systems Analyst, Iinformation Technology, 3.83
Elizabethtown College 1988 — 1990
Brunswick School 1982 — 1988
Renovate America August 2015 - Present
Encore Capital Group March 2013 - August 2015
LPL Financial November 2012 - February 2013
Advisors Asset Management, Inc. March 2011 - November 2012
iTRACS Corporation March 2010 - January 2011
Pearson August 2009 - January 2010
CSAA September 2007 - November 2008
Mutual Bank of Omaha April 2005 - September 2007
Fidelity National Financial August 2001 - April 2005
Skills
Databases, MS Project, Visio, Agile Methodologies, SDLC, Business Analysis, SharePoint, Quality Assurance, Project Management, Requirements Analysis, Team Leadership, ITIL, Process Improvement, Access, Vendor Management, Requirements Gathering, SQL, Microsoft SQL Server, Software Documentation, Program Management
Education
University of Phoenix 2012 — 2014
B.S. Business Systems Analyst, Iinformation Technology, 3.83
Elizabethtown College 1988 — 1990
Brunswick School 1982 — 1988
Deb Soto Deb Soto's Advisors Asset Management, Inc. Experience March 2011 - October 2013
Job
Industry Construction
Experience
Alpha Building Corporation January 2014 - Present
Advisors Asset Management, Inc. March 2011 - October 2013
Advisors Asset Management, Inc. March 2006 - March 2011
Transcom Payment Services January 2004 - March 2006
Bank of Colorado August 2000 - June 2001
US Bank November 1998 - September 2000
UMB Bank June 1997 - October 1998
UMB Bank April 1996 - June 1997
UMB Bank April 1996 - June 1997
UMB Bank March 1993 - March 1994
Skills
Management, Sales, Project Management, Program Management, Budgets, Customer Service, Microsoft Office, Accounts Receivable, Financial Services, Microsoft Excel, Leadership, 401k, New Business Development, Training, Product Marketing, Accounts Payable
Education
Pikes Peak Community College 2009 — 2009
McKendree University 1984 — 1985
Madison Sr. High School 1980 — 1984
Diploma
Alpha Building Corporation January 2014 - Present
Advisors Asset Management, Inc. March 2011 - October 2013
Advisors Asset Management, Inc. March 2006 - March 2011
Transcom Payment Services January 2004 - March 2006
Bank of Colorado August 2000 - June 2001
US Bank November 1998 - September 2000
UMB Bank June 1997 - October 1998
UMB Bank April 1996 - June 1997
UMB Bank April 1996 - June 1997
UMB Bank March 1993 - March 1994
Skills
Management, Sales, Project Management, Program Management, Budgets, Customer Service, Microsoft Office, Accounts Receivable, Financial Services, Microsoft Excel, Leadership, 401k, New Business Development, Training, Product Marketing, Accounts Payable
Education
Pikes Peak Community College 2009 — 2009
McKendree University 1984 — 1985
Madison Sr. High School 1980 — 1984
Diploma
Jeff Gater's Advisors Asset Management, Inc. Experience July 2006 - May 2007
Job Business Development & Retirement Plan Design Manager at Envoy Financial
Industry Financial Services
Experience
Envoy Financial August 2007 - Present
Advisors Asset Management, Inc. July 2006 - May 2007
H&R Block Financial Advisors (now part of Ameriprise Financial Services) February 1996 - July 2006
Skills
Sales, Management, Non-profits, Qualified Retirement..., Personal Financial..., Investments, Strategic Planning, Change Catalyst, Marketing, Communications, Presentations, Training, Fundraising, Project Management, Event Management, Nonprofits, Finance, Portfolio Management, Financial Services, Financial Advisory, Strategic Financial..., Retirement Planning, Retirement, Wealth Management, Securities, Financial Planning
Education
Regis University
Masters Nonprofit Management (MNM), Management of Nonprofit Organizations
Simpson College
Bachelor of Arts (BA), Management
Envoy Financial August 2007 - Present
Advisors Asset Management, Inc. July 2006 - May 2007
H&R Block Financial Advisors (now part of Ameriprise Financial Services) February 1996 - July 2006
Skills
Sales, Management, Non-profits, Qualified Retirement..., Personal Financial..., Investments, Strategic Planning, Change Catalyst, Marketing, Communications, Presentations, Training, Fundraising, Project Management, Event Management, Nonprofits, Finance, Portfolio Management, Financial Services, Financial Advisory, Strategic Financial..., Retirement Planning, Retirement, Wealth Management, Securities, Financial Planning
Education
Regis University
Masters Nonprofit Management (MNM), Management of Nonprofit Organizations
Simpson College
Bachelor of Arts (BA), Management
Christopher Genovese, MBA's Advisors Asset Management, Inc. Experience 2001 - Present
Job Executive Vice President
Industry Financial Services
Experience
Advisors Asset Management, Inc. 2001 - Present
Stoever Glass & Co., Inc. 1992 - 2001
Citi 1990 - 1992
Moody's Investors Service 1987 - 1990
Education
Pace University - Lubin School of Business
Master of Business Administration (MBA), Finance and Financial Management Services
Penn State University
Bachelor of Business Administration (BBA), Finance and Economics
Suffolk County Community College
Certificate, Management and Leadership
Jack Welch Management Institute
Certificate Program & Executive Training, Becoming a Leader
Advisors Asset Management, Inc. 2001 - Present
Stoever Glass & Co., Inc. 1992 - 2001
Citi 1990 - 1992
Moody's Investors Service 1987 - 1990
Education
Pace University - Lubin School of Business
Master of Business Administration (MBA), Finance and Financial Management Services
Penn State University
Bachelor of Business Administration (BBA), Finance and Economics
Suffolk County Community College
Certificate, Management and Leadership
Jack Welch Management Institute
Certificate Program & Executive Training, Becoming a Leader
Robert Sowinski's Advisors Asset Management, Inc. Experience September 2015 - Present
Job Sell and sell some more
Industry Financial Services
Experience
Advisors Asset Management, Inc. September 2015 - Present
Jefferies LLC June 2014 - July 2015
Citigroup September 1999 - April 2014
Skills
Fixed Income, Equities, Capital Markets, Derivatives, Bloomberg, Hedge Funds, Securities, Investments, Bonds, Alternative Investments
Education
Baruch College, City University of New York (CUNY) 1997 — 2000
Bachelors, Finance
Bachelor's
Advisors Asset Management, Inc. September 2015 - Present
Jefferies LLC June 2014 - July 2015
Citigroup September 1999 - April 2014
Skills
Fixed Income, Equities, Capital Markets, Derivatives, Bloomberg, Hedge Funds, Securities, Investments, Bonds, Alternative Investments
Education
Baruch College, City University of New York (CUNY) 1997 — 2000
Bachelors, Finance
Bachelor's
Gay Taylor Gay Taylor's Advisors Asset Management, Inc. Experience June 2006 - Present
Job Registered Representative at Advisory Asset Management
Industry Financial Services
Experience
Advisors Asset Management, Inc. June 2006 - Present
Citigroup 2002 - 2006
Primerica Financial Services 1998 - 2002
Hawthorn Suites by Wyndham 1996 - 1998
Physician Resource Management, Inc. 1994 - 1996
Education
San Antonio College 1987 — 1989
Associate of Applied Science Degree in Mortuary Science, Mortuary Law, Embalming, Pathalogy, Microbiology/Human Anatony/Physiology, Restortive Art.
The University of Texas at San Antonio 1984 — 1986
English, Geology, Biology, Economics
Robert E. Lee High School
Advisors Asset Management, Inc. June 2006 - Present
Citigroup 2002 - 2006
Primerica Financial Services 1998 - 2002
Hawthorn Suites by Wyndham 1996 - 1998
Physician Resource Management, Inc. 1994 - 1996
Education
San Antonio College 1987 — 1989
Associate of Applied Science Degree in Mortuary Science, Mortuary Law, Embalming, Pathalogy, Microbiology/Human Anatony/Physiology, Restortive Art.
The University of Texas at San Antonio 1984 — 1986
English, Geology, Biology, Economics
Robert E. Lee High School
Scott Colyer's Advisors Asset Management, Inc. Experience September 1998 - Present
Job Chairman & C.E.O. at Advisors Asset Management, Inc.
Industry Investment Management
Experience
Advisors Asset Management, Inc. September 1998 - Present
PaineWebber April 1994 - September 1998
Prudential Securities October 1989 - April 1994
Skills
Investor Relations, Leadership Development, Series 7, Alternative Investments, Series 63, Securities, Asset Allocation, Investment Strategies, Bonds, Asset Management, Mutual Funds, Investment Advisory, Investments, Executive Management, Wealth Management, Fixed Income, Series 24, Investment Management, Portfolio Management, Financial Advisory, Trading, Equities, Hedge Funds, FINRA, ETFs
Education
Washburn University School of Law 1983 — 1985
JD, Law
Pittsburg State University 1980 — 1982
BA, Pre-Law
Advisors Asset Management, Inc. September 1998 - Present
PaineWebber April 1994 - September 1998
Prudential Securities October 1989 - April 1994
Skills
Investor Relations, Leadership Development, Series 7, Alternative Investments, Series 63, Securities, Asset Allocation, Investment Strategies, Bonds, Asset Management, Mutual Funds, Investment Advisory, Investments, Executive Management, Wealth Management, Fixed Income, Series 24, Investment Management, Portfolio Management, Financial Advisory, Trading, Equities, Hedge Funds, FINRA, ETFs
Education
Washburn University School of Law 1983 — 1985
JD, Law
Pittsburg State University 1980 — 1982
BA, Pre-Law
Bob Buss Bob Buss's Advisors Asset Management, Inc. Experience October 2010 - June 2011
Job Financial Solutions Advisor with Merrill Edge
Industry Financial Services
Experience
Bank of America November 2011 - Present
MagicBuss Productions April 1999 - Present
Advisors Asset Management, Inc. October 2010 - June 2011
Advisors Asset Management, Inc. February 2005 - March 2009
Foresters 2003 - 2004
USAA 2002 - 2003
USAA 2001 - 2002
USAA 1998 - 2001
USAA 1997 - 1998
USAA 1996 - 1997
Skills
Financial Services, Strategic Planning, Project Management, Series 7, Investments, Mutual Funds, Fixed Annuities, Retirement Planning, Asset Managment, Securities, Wealth Management, Strategic Financial..., Bonds, Investment Strategies, Financial Advisory, Series 63, Series 26, Series 66, Life Insurance, Indexed Annuities, Variable Annuities, Equity Indexed Annuities, College Funding...
Education
American College, Bryn Mawr, PA 1992 — 1993
Chartered Life Underwriter (CLU), Financial Services
American College, Bryn Mawr, PA 1988 — 1992
Chartered Financial Consultant (ChFC), Financial Services
Clarion University of Pennsylvania 1977 — 1982
Business Administration, Accounting
Bank of America November 2011 - Present
MagicBuss Productions April 1999 - Present
Advisors Asset Management, Inc. October 2010 - June 2011
Advisors Asset Management, Inc. February 2005 - March 2009
Foresters 2003 - 2004
USAA 2002 - 2003
USAA 2001 - 2002
USAA 1998 - 2001
USAA 1997 - 1998
USAA 1996 - 1997
Skills
Financial Services, Strategic Planning, Project Management, Series 7, Investments, Mutual Funds, Fixed Annuities, Retirement Planning, Asset Managment, Securities, Wealth Management, Strategic Financial..., Bonds, Investment Strategies, Financial Advisory, Series 63, Series 26, Series 66, Life Insurance, Indexed Annuities, Variable Annuities, Equity Indexed Annuities, College Funding...
Education
American College, Bryn Mawr, PA 1992 — 1993
Chartered Life Underwriter (CLU), Financial Services
American College, Bryn Mawr, PA 1988 — 1992
Chartered Financial Consultant (ChFC), Financial Services
Clarion University of Pennsylvania 1977 — 1982
Business Administration, Accounting
Michael Landrum, CAIA Michael Landrum, CAIA's Advisors Asset Management, Inc. Experience July 2007 - Present
Job Advisors Asset Management
Industry Financial Services
Experience
Advisors Asset Management, Inc. July 2007 - Present
Baylor ITS May 2004 - May 2007
Skills
Fixed Income, Portfolio Management, Trading, Financial Advisory, Bonds
Education
Baylor University
Bachelor of Science
Advisors Asset Management, Inc. July 2007 - Present
Baylor ITS May 2004 - May 2007
Skills
Fixed Income, Portfolio Management, Trading, Financial Advisory, Bonds
Education
Baylor University
Bachelor of Science
Matthias A. Montes Matthias A. Montes's Advisors Asset Management, Inc. Experience October 2010 - June 2011
Job Learner, Achiever, Deliberative, Relator, Analytical
Industry Hospital & Health Care
Experience
Novation June 2015 - Present
Texland Petroleum October 2011 - July 2014
Advisors Asset Management, Inc. October 2010 - June 2011
Marcus & Millichap Real Estate Investment Services February 2007 - February 2008
ARCap Servicing Inc June 2006 - November 2006
Skills
Investments, Asset Management, Portfolio Management, Asset Managment, Financial Analysis, Leadership, Bonds, Finance, Fixed Income, Analysis, Financial Advisory, Negotiation, Consulting, Securities, Sales
Education
Baylor University - Hankamer School of Business 2002 — 2006
BBA, Real Estate & Marketing
Baylor University - Hankamer School of Business 2002 — 2006
Bachelor's degree, Marketing & Real Estate
Novation June 2015 - Present
Texland Petroleum October 2011 - July 2014
Advisors Asset Management, Inc. October 2010 - June 2011
Marcus & Millichap Real Estate Investment Services February 2007 - February 2008
ARCap Servicing Inc June 2006 - November 2006
Skills
Investments, Asset Management, Portfolio Management, Asset Managment, Financial Analysis, Leadership, Bonds, Finance, Fixed Income, Analysis, Financial Advisory, Negotiation, Consulting, Securities, Sales
Education
Baylor University - Hankamer School of Business 2002 — 2006
BBA, Real Estate & Marketing
Baylor University - Hankamer School of Business 2002 — 2006
Bachelor's degree, Marketing & Real Estate
Michael Kevin Epley Michael Kevin Epley's Advisors Asset Management, Inc. Experience April 2012 - January 2014
Job Asset Management Consultant at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. April 2012 - January 2014
NAVCAP NAV Capital Partners, LLC October 2011 - January 2012
Advisors Asset Management, Inc. January 2007 - July 2011
TD Waterhouse October 2000 - January 2006
Skills
Investments, Series 7, Asset Management, Securities, Alternative Investments, Bonds, Mutual Funds, Fixed Income, Wealth Management, Portfolio Management, Equities, Series 63
Education
The University of Texas at San Antonio 1989 — 1991
Accounting and Finance
Colorado State University-Global Campus
Business Administration and Management, General
Advisors Asset Management, Inc. April 2012 - January 2014
NAVCAP NAV Capital Partners, LLC October 2011 - January 2012
Advisors Asset Management, Inc. January 2007 - July 2011
TD Waterhouse October 2000 - January 2006
Skills
Investments, Series 7, Asset Management, Securities, Alternative Investments, Bonds, Mutual Funds, Fixed Income, Wealth Management, Portfolio Management, Equities, Series 63
Education
The University of Texas at San Antonio 1989 — 1991
Accounting and Finance
Colorado State University-Global Campus
Business Administration and Management, General
Chris Dewlen's Advisors Asset Management, Inc. Experience January 2014 - Present
Job Regional Director at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. January 2014 - Present
Advisors Asset Management, Inc. September 2003 - December 2013
Pan American Financial Advisors 2000 - 2003
Shobe Financial Group 1997 - 2000
Legg Mason 1997 - 1998
Prudential Securities 1994 - 1997
Skills
Investments, Mutual Funds, Asset Management, Fixed Income, Bonds, Series 7, Financial Advisory, Portfolio Management, Separately Managed..., Wealth Management, Investment Advisory, Alternative Investments, Series 63, Structured Products, Trading, Asset Allocation, Asset Managment, Securities, Unit Investment Trusts, Customer Service, Marketing, Sales, Banking, Municipal Bonds, Outlook, New Business Development, Credit Risk, Wealth Management..., Microsoft Office, Tactical Asset..., Microsoft Word, Closed-end Funds, Technical Analysis, PowerPoint, Research, Process Improvement, Project Management, Cash Management, Inside Sales, Inside Sales Management, CISP®
Education
Louisiana State University 1992 — 1997
BS, Finance
Advisors Asset Management, Inc. January 2014 - Present
Advisors Asset Management, Inc. September 2003 - December 2013
Pan American Financial Advisors 2000 - 2003
Shobe Financial Group 1997 - 2000
Legg Mason 1997 - 1998
Prudential Securities 1994 - 1997
Skills
Investments, Mutual Funds, Asset Management, Fixed Income, Bonds, Series 7, Financial Advisory, Portfolio Management, Separately Managed..., Wealth Management, Investment Advisory, Alternative Investments, Series 63, Structured Products, Trading, Asset Allocation, Asset Managment, Securities, Unit Investment Trusts, Customer Service, Marketing, Sales, Banking, Municipal Bonds, Outlook, New Business Development, Credit Risk, Wealth Management..., Microsoft Office, Tactical Asset..., Microsoft Word, Closed-end Funds, Technical Analysis, PowerPoint, Research, Process Improvement, Project Management, Cash Management, Inside Sales, Inside Sales Management, CISP®
Education
Louisiana State University 1992 — 1997
BS, Finance
Richard Stewart, CFA Richard Stewart, CFA's Advisors Asset Management, Inc. Experience March 2008 - Present
Job Executive Vice President, Advisors Asset Management
Industry Financial Services
Experience
Advisors Asset Management, Inc. March 2008 - Present
UBS Wealth Management June 1987 - February 2008
Skills
Series 7, Series 63, Series 24, Fixed Income, Bonds, Securities, Mutual Funds, Alternative Investments, ETFs, Asset Allocation, Wealth Management, Equities, Investment Strategies, Separately Managed...
Education
Fordham Gabelli School of Business 1989 — 1991
MBA, Finance
Fordham University 1983 — 1987
BS, Finance, Economics
Advisors Asset Management, Inc. March 2008 - Present
UBS Wealth Management June 1987 - February 2008
Skills
Series 7, Series 63, Series 24, Fixed Income, Bonds, Securities, Mutual Funds, Alternative Investments, ETFs, Asset Allocation, Wealth Management, Equities, Investment Strategies, Separately Managed...
Education
Fordham Gabelli School of Business 1989 — 1991
MBA, Finance
Fordham University 1983 — 1987
BS, Finance, Economics
Marc J Freeman Marc J Freeman's Advisors Asset Management, Inc. Experience 2009 - 2010
Job Fixed Income Sales
Industry Financial Services
Experience
Toussaint Capital Partners, LLC December 2014 - Present
Securevest Financial Group 2014 - 2014
CRT Capital Group 2011 - 2013
Susquehanna International Group 2010 - 2011
Advisors Asset Management, Inc. 2009 - 2010
Merrill Lynch 1990 - 2009
Skills
Sales, Bloomberg, Management, Fixed Income, Equities, Investments, Selling, Series 63, Series 7, Securities, Bonds, Capital Markets, Options Strategies, Hedge Funds, Venture Capital, Credit, Rates, Portfolio Management
Education
Fordham Gabelli School of Business 1994 — 1997
MBA, Finance
Penn State University 1985 — 1989
BS, Economics
Toussaint Capital Partners, LLC December 2014 - Present
Securevest Financial Group 2014 - 2014
CRT Capital Group 2011 - 2013
Susquehanna International Group 2010 - 2011
Advisors Asset Management, Inc. 2009 - 2010
Merrill Lynch 1990 - 2009
Skills
Sales, Bloomberg, Management, Fixed Income, Equities, Investments, Selling, Series 63, Series 7, Securities, Bonds, Capital Markets, Options Strategies, Hedge Funds, Venture Capital, Credit, Rates, Portfolio Management
Education
Fordham Gabelli School of Business 1994 — 1997
MBA, Finance
Penn State University 1985 — 1989
BS, Economics
Carl Donahue Carl Donahue's Advisors Asset Management, Inc. Experience January 2010 - November 2010
Job Financial Sales & Product Manager
Industry Financial Services
Experience
Transamerica November 2010 - Present
Advisors Asset Management, Inc. January 2010 - November 2010
Jackson National Life April 2001 - July 2009
Citibank November 1999 - April 2001
UBS (PaineWebber) March 1998 - April 1999
QRS Diagnostic March 1997 - February 1998
Southwestern Company October 1991 - September 1996
Skills
Series 7, Wholesaling, Annuities, Series 24, Sales Management, Sales Coach, Team Leadership, Fixed Annuities, Sales, Mutual Funds, Retirement, Financial Services, Wealth Management, Risk Management, Portfolio Management, Asset Management, Series 63, Retirement Planning, Financial Advisory, Investments
Education
Montana State University-Bozeman
BS, Business
University of Southern California
Engineering
Whitefish High School
Transamerica November 2010 - Present
Advisors Asset Management, Inc. January 2010 - November 2010
Jackson National Life April 2001 - July 2009
Citibank November 1999 - April 2001
UBS (PaineWebber) March 1998 - April 1999
QRS Diagnostic March 1997 - February 1998
Southwestern Company October 1991 - September 1996
Skills
Series 7, Wholesaling, Annuities, Series 24, Sales Management, Sales Coach, Team Leadership, Fixed Annuities, Sales, Mutual Funds, Retirement, Financial Services, Wealth Management, Risk Management, Portfolio Management, Asset Management, Series 63, Retirement Planning, Financial Advisory, Investments
Education
Montana State University-Bozeman
BS, Business
University of Southern California
Engineering
Whitefish High School
Anthony Fortunato Anthony Fortunato's Advisors Asset Management, Inc. Experience June 2013 - Present
Job Regional Advisory Consultant at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. June 2013 - Present
ARJENT June 2012 - March 2013
UBS April 2011 - August 2011
Skills
Microsoft Office, Microsoft Excel, Finance, Bloomberg, Investments, Microsoft Word, PowerPoint, Series 7, Series 63, Portfolio Management, Teamwork, Mutual Funds, Time Management, Unit Investment Trusts, Series 65, Fixed Income, Fixed Income Analysis, Leadership
Education
Clarkson University 2008 — 2012
Bachelor of Science (BS), Financial Information Analysis
Norwalk High School 2004 — 2008
Advisors Asset Management, Inc. June 2013 - Present
ARJENT June 2012 - March 2013
UBS April 2011 - August 2011
Skills
Microsoft Office, Microsoft Excel, Finance, Bloomberg, Investments, Microsoft Word, PowerPoint, Series 7, Series 63, Portfolio Management, Teamwork, Mutual Funds, Time Management, Unit Investment Trusts, Series 65, Fixed Income, Fixed Income Analysis, Leadership
Education
Clarkson University 2008 — 2012
Bachelor of Science (BS), Financial Information Analysis
Norwalk High School 2004 — 2008
Patrick C. Sullivan Patrick C. Sullivan's Advisors Asset Management, Inc. Experience April 2009 - April 2011
Job Vice President, Senior Account Manager at Prudential Investments
Industry Financial Services
Experience
Prudential Investments May 2011 - Present
Advisors Asset Management, Inc. April 2009 - April 2011
SEI Investments June 2006 - February 2009
Russell Investment Group July 2003 - June 2006
Hirtle Callaghan & Co. February 2002 - August 2003
Salomon Smith Barney 2001 - 2002
SEI Investments 1996 - 1999
United States Marine Corps 1991 - 1996
Skills
Asset Managment, Asset Management, Business Development, Equities, Financial Advisory, Financial Services, Fixed Income, Investment Management, Investment Strategies, Investments, Management, Mutual Funds, Wealth Management, Strategy, Portfolio Management
Education
Cornell University - S.C. Johnson Graduate School of Management 1999 — 2001
MBA
Hobart and William Smith Colleges 1985 — 1989
BA, Economics
Prudential Investments May 2011 - Present
Advisors Asset Management, Inc. April 2009 - April 2011
SEI Investments June 2006 - February 2009
Russell Investment Group July 2003 - June 2006
Hirtle Callaghan & Co. February 2002 - August 2003
Salomon Smith Barney 2001 - 2002
SEI Investments 1996 - 1999
United States Marine Corps 1991 - 1996
Skills
Asset Managment, Asset Management, Business Development, Equities, Financial Advisory, Financial Services, Fixed Income, Investment Management, Investment Strategies, Investments, Management, Mutual Funds, Wealth Management, Strategy, Portfolio Management
Education
Cornell University - S.C. Johnson Graduate School of Management 1999 — 2001
MBA
Hobart and William Smith Colleges 1985 — 1989
BA, Economics
Jeffrey W. Coron Jeffrey W. Coron's Advisors Asset Management, Inc. Experience April 2008 - July 2012
Job Director of Institutional and Intermediary Distribution at Glenmede Investment Management
Industry Financial Services
Experience
Glenmede Investment Management LP November 2012 - Present
Advisors Asset Management, Inc. April 2008 - July 2012
Fortigent, LLC July 2007 - March 2008
Natixis Global Associates January 2006 - March 2007
Natixis Global Associates March 2003 - January 2006
Merrill Lynch - Managed Solutions Group January 2001 - March 2003
Skills
Sales Management, Key Account Management, Strategic Partnerships, New Business Development, Strategic Thinking, Team Leadership, Sales Hiring, Mutual Funds, Separately Managed..., ETFs, Alternative Investments, Mentoring Of Staff, Sales, Investment Advisory, CIMA, Sales Presentations
Education
Elizabethtown College 1987 — 1991
BS, Finance
Glenmede Investment Management LP November 2012 - Present
Advisors Asset Management, Inc. April 2008 - July 2012
Fortigent, LLC July 2007 - March 2008
Natixis Global Associates January 2006 - March 2007
Natixis Global Associates March 2003 - January 2006
Merrill Lynch - Managed Solutions Group January 2001 - March 2003
Skills
Sales Management, Key Account Management, Strategic Partnerships, New Business Development, Strategic Thinking, Team Leadership, Sales Hiring, Mutual Funds, Separately Managed..., ETFs, Alternative Investments, Mentoring Of Staff, Sales, Investment Advisory, CIMA, Sales Presentations
Education
Elizabethtown College 1987 — 1991
BS, Finance
Adriel Estrada's Advisors Asset Management, Inc. Experience May 2014 - August 2014
Job Application Architect at Advisors Asset Management, Inc.
Industry Information Technology and Services
Experience
IBM May 2015 - August 2015
Advisors Asset Management, Inc. May 2014 - August 2014
Advisors Asset Management, Inc. February 2011 - April 2014
Advisors Asset Management, Inc. March 2010 - February 2011
Unus May 2005 - September 2009
The Compliance Group, Inc. August 2002 - May 2005
Cypress Semiconductor March 2001 - March 2002
Skills
Software Development, Leadership, Strategy, Project Management, Business Analysis, Data Analysis, Public Speaking, Salesforce.com, JavaScript, Scrum, Integration, CSS, SQL, Spanish-speaking, XML, Salesforce.com..., Force.com, Spanish, jQuery, HTML 5, Photoshop, InDesign, WordPress, Customer Service..., Talend Open Studio, Powershell, Java, Eclipse, Visualforce Pages, Apex Programming, SOQL, FIX Protocol, CSS3, PHP, Sitefinity, Illustrator, JSON, Apex Data Loader, Management, Marketing Strategy, Strategic Planning
Education
Georgetown University 1996 — 2000
BSBA
Universidad Autonoma de Madrid 1999 — 1999
Georgetown Study Abroad
Grossmont High School 1992 — 1996
Diploma
IBM May 2015 - August 2015
Advisors Asset Management, Inc. May 2014 - August 2014
Advisors Asset Management, Inc. February 2011 - April 2014
Advisors Asset Management, Inc. March 2010 - February 2011
Unus May 2005 - September 2009
The Compliance Group, Inc. August 2002 - May 2005
Cypress Semiconductor March 2001 - March 2002
Skills
Software Development, Leadership, Strategy, Project Management, Business Analysis, Data Analysis, Public Speaking, Salesforce.com, JavaScript, Scrum, Integration, CSS, SQL, Spanish-speaking, XML, Salesforce.com..., Force.com, Spanish, jQuery, HTML 5, Photoshop, InDesign, WordPress, Customer Service..., Talend Open Studio, Powershell, Java, Eclipse, Visualforce Pages, Apex Programming, SOQL, FIX Protocol, CSS3, PHP, Sitefinity, Illustrator, JSON, Apex Data Loader, Management, Marketing Strategy, Strategic Planning
Education
Georgetown University 1996 — 2000
BSBA
Universidad Autonoma de Madrid 1999 — 1999
Georgetown Study Abroad
Grossmont High School 1992 — 1996
Diploma
Alfred Fuentes Jr.'s Advisors Asset Management, Inc. Experience February 2010 - June 2011
Job Vice PresidentCapital Markets at Investment Professionals Incorporated
Industry Financial Services
Experience
Investment Professionals, INC June 2012 - Present
Fuentes Technical Trading & Analysis July 2011 - June 2012
Advisors Asset Management, Inc. February 2010 - June 2011
Advisors Asset Management, Inc. August 2008 - February 2010
USAA FINANCIAL PLANNING SERVICES January 2006 - January 2008
USAA INVESTMENT MANAGEMENT COMPANY January 1998 - January 2006
Investment Sales and Service January 1997 - January 1998
Investment Sales and Service January 1992 - January 1997
Skills
Investments, Portfolio Management, Retirement Planning, Financial Advisory, Series 7, Retirement, Mutual Funds, Bonds, Fixed Income, Series 63, Asset Allocation, Securities, Financial Planning, Equities, Asset Management, Investment Banking, Trading, Insurance, FINRA, Options, Investment Strategies, Strategic Planning, Financial Markets, Microsoft Office, Risk Management, Team Building, ETFs, Separately Managed..., Structured Products, Investment Advisory, Series 24, Licensing, Annuities, Customer Relations, Sales Management, Compliance, Planning, Executive Management, Problem Solving, Coaching, Mentoring, Budgeting, Public Speaking, Investment Products, SMA, Series 66, Capital Markets, Managed Accounts, Leadership, Strategy
Education
University of the Incarnate Word 1995 — 1997
MBA, Business Administration
The University of Texas at San Antonio 1990 — 1994
BBA, Finance
College for Financial Planning
AAMS, Asset Accredited Management Specialist
College for Financial Planning
CRPC, Chartered Retirement Planning Counselor
Investment Professionals, INC June 2012 - Present
Fuentes Technical Trading & Analysis July 2011 - June 2012
Advisors Asset Management, Inc. February 2010 - June 2011
Advisors Asset Management, Inc. August 2008 - February 2010
USAA FINANCIAL PLANNING SERVICES January 2006 - January 2008
USAA INVESTMENT MANAGEMENT COMPANY January 1998 - January 2006
Investment Sales and Service January 1997 - January 1998
Investment Sales and Service January 1992 - January 1997
Skills
Investments, Portfolio Management, Retirement Planning, Financial Advisory, Series 7, Retirement, Mutual Funds, Bonds, Fixed Income, Series 63, Asset Allocation, Securities, Financial Planning, Equities, Asset Management, Investment Banking, Trading, Insurance, FINRA, Options, Investment Strategies, Strategic Planning, Financial Markets, Microsoft Office, Risk Management, Team Building, ETFs, Separately Managed..., Structured Products, Investment Advisory, Series 24, Licensing, Annuities, Customer Relations, Sales Management, Compliance, Planning, Executive Management, Problem Solving, Coaching, Mentoring, Budgeting, Public Speaking, Investment Products, SMA, Series 66, Capital Markets, Managed Accounts, Leadership, Strategy
Education
University of the Incarnate Word 1995 — 1997
MBA, Business Administration
The University of Texas at San Antonio 1990 — 1994
BBA, Finance
College for Financial Planning
AAMS, Asset Accredited Management Specialist
College for Financial Planning
CRPC, Chartered Retirement Planning Counselor
Jack Simkin Jack Simkin's Advisors Asset Management, Inc. Experience COOAdvisors Asset Manageemnt, Inc.1987 - Present
Job Consulting Employee, Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. COOAdvisors Asset Manageemnt, Inc.1987 - Present
Education
Ivey Business School at Western University 1972 — 1974
MBA
Advisors Asset Management, Inc. COOAdvisors Asset Manageemnt, Inc.1987 - Present
Education
Ivey Business School at Western University 1972 — 1974
MBA
Chuck Simonds's Advisors Asset Management, Inc. Experience April 2015 - Present
Job Regional Advisory Consultant at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. April 2015 - Present
LPL Financial August 2012 - March 2015
LPL Financial March 2012 - August 2012
LPL Financial July 2009 - March 2012
Capstone Investments November 2006 - September 2008
Providence College Men's Basketball September 2001 - May 2005
Skills
Alternative Investments, Structured Products, Annuities, Mutual Funds, ETFs, Investments, Wealth Management, Series 7, Securities, Fixed Annuities, Financial Services, Investment Advisory, Retirement Planning, Portfolio Management, Retirement
Education
Providence College
Bachelor, Marketing
Advisors Asset Management, Inc. April 2015 - Present
LPL Financial August 2012 - March 2015
LPL Financial March 2012 - August 2012
LPL Financial July 2009 - March 2012
Capstone Investments November 2006 - September 2008
Providence College Men's Basketball September 2001 - May 2005
Skills
Alternative Investments, Structured Products, Annuities, Mutual Funds, ETFs, Investments, Wealth Management, Series 7, Securities, Fixed Annuities, Financial Services, Investment Advisory, Retirement Planning, Portfolio Management, Retirement
Education
Providence College
Bachelor, Marketing
Bart Daniel Bart Daniel's Advisors Asset Management, Inc. Experience January 2012 - Present
Job Chief Strategy Officer | Public Speaker | Problem Solver | Solutions Provider
Industry Financial Services
Experience
Advisors Asset Management, Inc. January 2012 - Present
Advisors Asset Management, Inc. July 2003 - January 2012
Fixed Income Securities 2003 - 2008
ValuBond 2000 - 2003
Barra 1998 - 2000
Bond Express, Inc. 1993 - 1998
United States Marine Corps 1990 - 1996
Skills
Product Management, Business Analysis, SQL, Strategic Planning, Executive Management, Social Media, Social Media Marketing, Leadership, Marketing, Strategy, Integration, SEO, Project Management, Product Development, Operations Management, Software Development, Financial Services, Business Development, Business Strategy, Public Speaking, Team Building
Education
Humboldt State University 1988 — 1992
Clairemont High School 1985 — 1988
Advisors Asset Management, Inc. January 2012 - Present
Advisors Asset Management, Inc. July 2003 - January 2012
Fixed Income Securities 2003 - 2008
ValuBond 2000 - 2003
Barra 1998 - 2000
Bond Express, Inc. 1993 - 1998
United States Marine Corps 1990 - 1996
Skills
Product Management, Business Analysis, SQL, Strategic Planning, Executive Management, Social Media, Social Media Marketing, Leadership, Marketing, Strategy, Integration, SEO, Project Management, Product Development, Operations Management, Software Development, Financial Services, Business Development, Business Strategy, Public Speaking, Team Building
Education
Humboldt State University 1988 — 1992
Clairemont High School 1985 — 1988
Jim Costas Jim Costas's Advisors Asset Management, Inc. Experience February 2002 - Present
Job Executive Vice President at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. February 2002 - Present
Skills
Asset Management, Wealth Management, Trading, Securities, Series 7, Series 63, Fixed Income, Asset Managment, Bonds, Financial Advisory, Mutual Funds, Investments, Capital Markets, Investment Advisory, Alternative Investments, FINRA, Asset Allocation, Portfolio Management
Education
Ithaca College 1972 — 1976
Bachelors of Science, Business Administration; Mathematics Econmics Minor
Advisors Asset Management, Inc. February 2002 - Present
Skills
Asset Management, Wealth Management, Trading, Securities, Series 7, Series 63, Fixed Income, Asset Managment, Bonds, Financial Advisory, Mutual Funds, Investments, Capital Markets, Investment Advisory, Alternative Investments, FINRA, Asset Allocation, Portfolio Management
Education
Ithaca College 1972 — 1976
Bachelors of Science, Business Administration; Mathematics Econmics Minor
Bridget Kim's Advisors Asset Management, Inc. Experience September 2009 - September 2010
Job Sr. Project Manager at Sony Network Entertainment, Inc.
Industry Information Technology and Services
Experience
Sony Entertainment Network, Inc. November 2011 - Present
International Institute of Business Analysis (IIBA) of San Diego April 2009 - December 2011
Vericrest Financial November 2010 - December 2010
Advisors Asset Management, Inc. September 2009 - September 2010
LPL Financial June 2007 - March 2009
LPL Financial July 2007 - July 2008
LPL Financial Services January 2002 - May 2007
LPL Financial December 2004 - December 2005
LPL Financial August 2000 - December 2004
Rock Solid Consulting August 1995 - July 2000
Skills
SDLC, Software Project..., Business Analysis, Process Improvement, Agile Methodologies, SharePoint, Visio, Requirements Analysis, Project Management, Change Management, PMO, Software Development, SQL, Software Documentation, Project Planning, Integration, Access, Testing, Program Management, IT Service Management, Databases, Leadership, ITIL, Vendor Management, Scrum, IT Strategy, Analysis, Management, Business Process, PMP, Business Intelligence, Data Center, MS Project, Requirements Gathering, Agile Project Management
Education
San Diego State University-California State University 2006 — 2006
Project Management, Project Management Certification
DePaul University 1996 — 1996
Computer Programming, Information Systems
Northern Illinois University 1988 — 1992
Sony Entertainment Network, Inc. November 2011 - Present
International Institute of Business Analysis (IIBA) of San Diego April 2009 - December 2011
Vericrest Financial November 2010 - December 2010
Advisors Asset Management, Inc. September 2009 - September 2010
LPL Financial June 2007 - March 2009
LPL Financial July 2007 - July 2008
LPL Financial Services January 2002 - May 2007
LPL Financial December 2004 - December 2005
LPL Financial August 2000 - December 2004
Rock Solid Consulting August 1995 - July 2000
Skills
SDLC, Software Project..., Business Analysis, Process Improvement, Agile Methodologies, SharePoint, Visio, Requirements Analysis, Project Management, Change Management, PMO, Software Development, SQL, Software Documentation, Project Planning, Integration, Access, Testing, Program Management, IT Service Management, Databases, Leadership, ITIL, Vendor Management, Scrum, IT Strategy, Analysis, Management, Business Process, PMP, Business Intelligence, Data Center, MS Project, Requirements Gathering, Agile Project Management
Education
San Diego State University-California State University 2006 — 2006
Project Management, Project Management Certification
DePaul University 1996 — 1996
Computer Programming, Information Systems
Northern Illinois University 1988 — 1992
Julie Slater's Advisors Asset Management, Inc. Experience July 2011 - December 2011
Job Business Systems Consultant at Wells Fargo Securities
Industry Investment Banking
Experience
Wells Fargo Securities January 2015 - Present
Slater Investments LLC February 2011 - Present
USBank December 2011 - January 2015
Advisors Asset Management, Inc. July 2011 - December 2011
TradeKing November 2008 - July 2011
Ameriprise Financial Services, Inc. August 2007 - November 2008
High Country Media October 2006 - July 2007
Skills
Series 7, Uniform Combined State..., Series 63, Series 24, Securities, Mutual Funds, Wealth Management, Equities, FINRA, Investments, Bonds, Fixed Income, Retirement Planning, Options, Asset Managment, Bloomberg, Finance, Capital Markets, Asset Management
Education
Capella University 2009 — 2011
MBA, Finance
Appalachian State University 2002 — 2007
Bachelor of Science, Media Broadcasting
Appalachian State University 2002 — 2007
Minor, Sociology
Wells Fargo Securities January 2015 - Present
Slater Investments LLC February 2011 - Present
USBank December 2011 - January 2015
Advisors Asset Management, Inc. July 2011 - December 2011
TradeKing November 2008 - July 2011
Ameriprise Financial Services, Inc. August 2007 - November 2008
High Country Media October 2006 - July 2007
Skills
Series 7, Uniform Combined State..., Series 63, Series 24, Securities, Mutual Funds, Wealth Management, Equities, FINRA, Investments, Bonds, Fixed Income, Retirement Planning, Options, Asset Managment, Bloomberg, Finance, Capital Markets, Asset Management
Education
Capella University 2009 — 2011
MBA, Finance
Appalachian State University 2002 — 2007
Bachelor of Science, Media Broadcasting
Appalachian State University 2002 — 2007
Minor, Sociology
Randy Pegg Randy Pegg's Advisors Asset Management, Inc. Experience September 1998 - Present
Job Executive Vice President | Sales Enablement Leader | Financial Services Distribution
Industry Financial Services
Experience
Advisors Asset Management, Inc. September 1998 - Present
Salomon Smith Barney 1989 - 1997
Skills
Sales Management, Sales Process, Distribution, Training & Development, Relationship Development, Consultative Selling, Structured Products, Asset Management, Separately Managed..., Asset Managment, Executive Management, Financial Services, Selling, Investment Management, Financial Advisory, Fixed Income, Investments, Employee Training, Series 7, Sales, Alternative Investments, Mutual Funds, Series 63
Education
Midwestern State University 2000 — 2005
BA, Finance
Advisors Asset Management, Inc. September 1998 - Present
Salomon Smith Barney 1989 - 1997
Skills
Sales Management, Sales Process, Distribution, Training & Development, Relationship Development, Consultative Selling, Structured Products, Asset Management, Separately Managed..., Asset Managment, Executive Management, Financial Services, Selling, Investment Management, Financial Advisory, Fixed Income, Investments, Employee Training, Series 7, Sales, Alternative Investments, Mutual Funds, Series 63
Education
Midwestern State University 2000 — 2005
BA, Finance
Christopher Vandiver Christopher Vandiver's Advisors Asset Management, Inc. Experience January 2013 - Present
Job Junior Securities Analyst at Advisors Asset Management, Inc.
Industry Investment Management
Experience
Advisors Asset Management, Inc. January 2013 - Present
TelComm Credit Union 2009 - 2012
Skills
Financial Analysis, Research, Corporate Finance, Financial Reporting, Fixed Income, Retail Banking, Small Business Lending, Personal Banking, Commercial Lending, Lines Of Credit, Teller Operations
Education
Missouri State University 2008 — 2012
Bachelor of Science (B.S.), Finance, 3.64
Advisors Asset Management, Inc. January 2013 - Present
TelComm Credit Union 2009 - 2012
Skills
Financial Analysis, Research, Corporate Finance, Financial Reporting, Fixed Income, Retail Banking, Small Business Lending, Personal Banking, Commercial Lending, Lines Of Credit, Teller Operations
Education
Missouri State University 2008 — 2012
Bachelor of Science (B.S.), Finance, 3.64
E. Everett Peroni, CFA E. Everett Peroni, CFA's Advisors Asset Management, Inc. Experience 2008 - 2012
Job Executive Associate at Wilmington Trust
Industry Financial Services
Experience
Wilmington Trust 2014 - Present
Cornell University, S.C. Johnson Graduate School of Management August 2012 - Present
M&T Bank June 2013 - August 2013
Advisors Asset Management, Inc. 2008 - 2012
SEI 2007 - 2008
Skills
Microsoft Excel, PowerPoint, Microsoft Office, Microsoft Word, Financial Analysis, Research, Accounting, Customer Service, Bloomberg, Portfolio Management, Access, Financial Reporting, Outlook, Analysis, Equities, Economics
Education
Cornell University - S.C. Johnson Graduate School of Management 2012 — 2014
MBA Candidate - Class of 2014
Lehigh University 2003 — 2007
Bachelor of Science (B.S.), Finance and Accounting
Conestoga
Wilmington Trust 2014 - Present
Cornell University, S.C. Johnson Graduate School of Management August 2012 - Present
M&T Bank June 2013 - August 2013
Advisors Asset Management, Inc. 2008 - 2012
SEI 2007 - 2008
Skills
Microsoft Excel, PowerPoint, Microsoft Office, Microsoft Word, Financial Analysis, Research, Accounting, Customer Service, Bloomberg, Portfolio Management, Access, Financial Reporting, Outlook, Analysis, Equities, Economics
Education
Cornell University - S.C. Johnson Graduate School of Management 2012 — 2014
MBA Candidate - Class of 2014
Lehigh University 2003 — 2007
Bachelor of Science (B.S.), Finance and Accounting
Conestoga
Thomas Sherwood's Advisors Asset Management, Inc. Experience December 2005 - Present
Job Vice President, Investments
Industry Financial Services
Experience
Advisors Asset Management, Inc. December 2005 - Present
Financial Network Investment Corporation, Member SIPC August 2002 - December 2003
McDonald Investments July 1989 - July 2002
McDonald Investments October 1986 - July 1989
Municipal Advisory Council of Texas December 1984 - October 1986
M. L. Stern and Co 1984 - 1985
Skills
Series 7, Fixed Income, Bonds, Portfolio Management, FINRA, Investment Management, Asset, Series 63, Investment Advisory, Securities, Mutual Funds, Alternative Investments, Wealth Management, Finance, Uniform Combined State..., Investments
Education
University of North Texas 1980 — 1983
Bachelors of Business Administration, Marketing
San Jacinto College 1978 — 1980
undergraduate studies
The University of Texas at Austin 1977 — 1978
undergraduate studies
Clear Lake High School 1973 — 1977
Advisors Asset Management, Inc. December 2005 - Present
Financial Network Investment Corporation, Member SIPC August 2002 - December 2003
McDonald Investments July 1989 - July 2002
McDonald Investments October 1986 - July 1989
Municipal Advisory Council of Texas December 1984 - October 1986
M. L. Stern and Co 1984 - 1985
Skills
Series 7, Fixed Income, Bonds, Portfolio Management, FINRA, Investment Management, Asset, Series 63, Investment Advisory, Securities, Mutual Funds, Alternative Investments, Wealth Management, Finance, Uniform Combined State..., Investments
Education
University of North Texas 1980 — 1983
Bachelors of Business Administration, Marketing
San Jacinto College 1978 — 1980
undergraduate studies
The University of Texas at Austin 1977 — 1978
undergraduate studies
Clear Lake High School 1973 — 1977
George J. Pagorek George J. Pagorek's Advisors Asset Management, Inc. Experience June 2009 - June 2011
Job PMO Program / Project Management Product Manager Software Development Consultant Financial Services
Industry Information Technology and Services
Experience
MUFG Union Bank March 2013 - Present
Nuveen Investments March 2012 - December 2012
Advisors Asset Management, Inc. June 2009 - June 2011
Dimensional Fund Advisors April 2005 - May 2008
Pacific Life 2004 - 2005
LPL Financial Services September 1998 - June 2004
Nicholas-Applegate Capital Management (NACM) June 1996 - September 1998
Skills
Business Strategy, Enterprise Software, Project Portfolio..., IT Operations, Organizational..., Software Development, Team Building, Collaborative, PMO, Problem Solving, Self Starter, Project Program..., Relationship Management, SDLC, Quality Assurance, Project Management, Front Office / OMS, Middle Office / Trade..., Back Office / Fund..., Research, Compliance / Risk..., Marketing and Sales, Brokerage, Equity Securities, Fixed Income Securities, Mutual Funds, ETFs, Business Intelligence, Strategy, Fixed Income, CRM, Cloud Computing, Agile Methodologies, Microsoft SQL Server, Outsourcing, Management, Leadership, Analysis, Business Development, Portfolio Management, Team Leadership, Management Consulting, E-commerce
Education
University of San Diego 1998 — 2002
MBA, Finance and Marketing
American Management Association 1997 — 1997
Certification, Project Management
Stony Brook University
MS, Computer Science
City University of New York-Hunter College
BA, Mathematics and Physics
MUFG Union Bank March 2013 - Present
Nuveen Investments March 2012 - December 2012
Advisors Asset Management, Inc. June 2009 - June 2011
Dimensional Fund Advisors April 2005 - May 2008
Pacific Life 2004 - 2005
LPL Financial Services September 1998 - June 2004
Nicholas-Applegate Capital Management (NACM) June 1996 - September 1998
Skills
Business Strategy, Enterprise Software, Project Portfolio..., IT Operations, Organizational..., Software Development, Team Building, Collaborative, PMO, Problem Solving, Self Starter, Project Program..., Relationship Management, SDLC, Quality Assurance, Project Management, Front Office / OMS, Middle Office / Trade..., Back Office / Fund..., Research, Compliance / Risk..., Marketing and Sales, Brokerage, Equity Securities, Fixed Income Securities, Mutual Funds, ETFs, Business Intelligence, Strategy, Fixed Income, CRM, Cloud Computing, Agile Methodologies, Microsoft SQL Server, Outsourcing, Management, Leadership, Analysis, Business Development, Portfolio Management, Team Leadership, Management Consulting, E-commerce
Education
University of San Diego 1998 — 2002
MBA, Finance and Marketing
American Management Association 1997 — 1997
Certification, Project Management
Stony Brook University
MS, Computer Science
City University of New York-Hunter College
BA, Mathematics and Physics
Kirk Leslie Kirk Leslie's Advisors Asset Management, Inc. Experience July 2010 - July 2014
Job Regional Vice President at Incapital
Industry Financial Services
Experience
Incapital August 2014 - Present
Advisors Asset Management, Inc. July 2010 - July 2014
Curian Capital, LLC December 2007 - July 2010
Curian Capital, LLC April 2007 - December 2007
Curian Capital April 2004 - March 2007
First Washington Financial March 2003 - March 2004
AXA Equitable February 2002 - March 2003
Manulife/John Hancock August 1999 - November 2001
Skills
Series 7, Mutual Funds, Series 63, Separately Managed..., Structured Products, Unit Investment Trusts, Practice Management, Investment Sales Ideas, Income Solutions, Public Speaking, Annuities, Fixed Annuities, Financial Services
Education
Lafayette College 1993 — 1997
Bachelor of Science (B.S.)
Incapital August 2014 - Present
Advisors Asset Management, Inc. July 2010 - July 2014
Curian Capital, LLC December 2007 - July 2010
Curian Capital, LLC April 2007 - December 2007
Curian Capital April 2004 - March 2007
First Washington Financial March 2003 - March 2004
AXA Equitable February 2002 - March 2003
Manulife/John Hancock August 1999 - November 2001
Skills
Series 7, Mutual Funds, Series 63, Separately Managed..., Structured Products, Unit Investment Trusts, Practice Management, Investment Sales Ideas, Income Solutions, Public Speaking, Annuities, Fixed Annuities, Financial Services
Education
Lafayette College 1993 — 1997
Bachelor of Science (B.S.)
Robert Moser Robert Moser's Advisors Asset Management, Inc. Experience March 2005 - Present
Job 1st Vice President UIT Trading and Sales at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. March 2005 - Present
Claymore Securities October 2001 - March 2005
Skills
Securities, Series 7, Series 63, Trading, Investments, Series 24, Series 53, Bloomberg, Back Office, Financial Services, Bonds, Alternative Investments, FINRA, Fixed Income, Investment Banking, Mutual Funds
Education
Northern Illinois University 1981 — 1985
Bachelors, Mathematics
Advisors Asset Management, Inc. March 2005 - Present
Claymore Securities October 2001 - March 2005
Skills
Securities, Series 7, Series 63, Trading, Investments, Series 24, Series 53, Bloomberg, Back Office, Financial Services, Bonds, Alternative Investments, FINRA, Fixed Income, Investment Banking, Mutual Funds
Education
Northern Illinois University 1981 — 1985
Bachelors, Mathematics
Jon Steffey, CFP®, ChFC, CLU Jon Steffey, CFP®, ChFC, CLU's Advisors Asset Management, Inc. Experience August 2010 - Present
Job Regional Advisory Consultant at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. August 2010 - Present
AIG Retirement Services January 2008 - June 2009
Morgan Stanley Smith Barney 2007 - 2007
Frost Bank 2004 - 2006
USAA 1992 - 2004
US Army July 1976 - June 1988
Skills
Asset Management, Portfolios, Investments, Series 7, Portfolio Management, Insurance, Financial Planning, Retirement Planning, Fixed Income, Mutual Funds, Securities, Bonds, Investment Strategies, Alternative Investments, Retirement, Financial Analysis, Strategic Financial..., Asset Managment, Investment Management, Risk Management, Investment Advisory, Estate Planning, Wealth Accumulation, High Net Worth..., Wealth, Finance, Retirement Plan..., Separately Managed...
Education
St. Mary's University 1972 — 1976
BA, Political Science
MacArthur High School, San Antonio, TX 1971 — 1972
Radford High School, Honolulu, HI 1968 — 1971
Advisors Asset Management, Inc. August 2010 - Present
AIG Retirement Services January 2008 - June 2009
Morgan Stanley Smith Barney 2007 - 2007
Frost Bank 2004 - 2006
USAA 1992 - 2004
US Army July 1976 - June 1988
Skills
Asset Management, Portfolios, Investments, Series 7, Portfolio Management, Insurance, Financial Planning, Retirement Planning, Fixed Income, Mutual Funds, Securities, Bonds, Investment Strategies, Alternative Investments, Retirement, Financial Analysis, Strategic Financial..., Asset Managment, Investment Management, Risk Management, Investment Advisory, Estate Planning, Wealth Accumulation, High Net Worth..., Wealth, Finance, Retirement Plan..., Separately Managed...
Education
St. Mary's University 1972 — 1976
BA, Political Science
MacArthur High School, San Antonio, TX 1971 — 1972
Radford High School, Honolulu, HI 1968 — 1971
Dave Seibert's Advisors Asset Management, Inc. Experience February 2009 - Present
Job First VP | Public Speaker | Investment Solutions | Key Account Management at Advisors Asset Management, Inc.
Industry Investment Management
Experience
Advisors Asset Management, Inc. February 2009 - Present
Merrill Lynch February 2006 - February 2009
LaSalle Bank November 2002 - February 2006
LaSalle Bank August 2000 - November 2002
J.C. Bradford & Company July 1997 - July 2000
Seligman Data Corp July 1995 - July 1997
Skills
Structured Products, Public Speaking, Investments, Fixed Income, Equities, Asset Management, Series 7, Mutual Funds, Series 63, Bonds, Financial Services, Financial Advisory, Risk Management, Asset Allocation, Finance, Securities, Unit Investment Trusts
Education
State University of New York College at Old Westbury
Bachelor of Science (B.S.), Business Management
Advisors Asset Management, Inc. February 2009 - Present
Merrill Lynch February 2006 - February 2009
LaSalle Bank November 2002 - February 2006
LaSalle Bank August 2000 - November 2002
J.C. Bradford & Company July 1997 - July 2000
Seligman Data Corp July 1995 - July 1997
Skills
Structured Products, Public Speaking, Investments, Fixed Income, Equities, Asset Management, Series 7, Mutual Funds, Series 63, Bonds, Financial Services, Financial Advisory, Risk Management, Asset Allocation, Finance, Securities, Unit Investment Trusts
Education
State University of New York College at Old Westbury
Bachelor of Science (B.S.), Business Management
Daniel Babayan's Advisors Asset Management, Inc. Experience March 2009 - July 2009
Job SecuritiesBased Lending Platform Development, Wealth Management, Sales
Industry Financial Services
Experience
UBS Wealth Management December 2014 - Present
BetterDebt April 2014 - December 2014
Wells Fargo Advisors July 2010 - April 2014
Dow Jones July 2009 - July 2010
Advisors Asset Management, Inc. March 2009 - July 2009
Bear Stearns May 2007 - July 2008
Merrill Lynch April 2004 - May 2007
Merrill Lynch 2001 - 2004
Paytrust.com September 1999 - July 2001
Merrill Lynch 1995 - 1999
Skills
Sales, Technology Management, Wealth Management, Product Development, Risk Management, Securities Lending, Strategy, Leadership, Financial Services, Business Analysis, Investments, Loans, Banking, Management, Start-ups, Market Data, Portfolio Management, Fixed Income, Business Development, Asset Management, Series 7, Securities, Analytics, Series 63, Financial Advisory, Structured Products, Equities, Finance, Mutual Funds, Product Management, Product Marketing, Alternative Investments, Investment Brokerage
Education
Rutgers University-New Brunswick
BA, Economics
Rutgers University-New Brunswick
Bachelor's degree, Economics
UBS Wealth Management December 2014 - Present
BetterDebt April 2014 - December 2014
Wells Fargo Advisors July 2010 - April 2014
Dow Jones July 2009 - July 2010
Advisors Asset Management, Inc. March 2009 - July 2009
Bear Stearns May 2007 - July 2008
Merrill Lynch April 2004 - May 2007
Merrill Lynch 2001 - 2004
Paytrust.com September 1999 - July 2001
Merrill Lynch 1995 - 1999
Skills
Sales, Technology Management, Wealth Management, Product Development, Risk Management, Securities Lending, Strategy, Leadership, Financial Services, Business Analysis, Investments, Loans, Banking, Management, Start-ups, Market Data, Portfolio Management, Fixed Income, Business Development, Asset Management, Series 7, Securities, Analytics, Series 63, Financial Advisory, Structured Products, Equities, Finance, Mutual Funds, Product Management, Product Marketing, Alternative Investments, Investment Brokerage
Education
Rutgers University-New Brunswick
BA, Economics
Rutgers University-New Brunswick
Bachelor's degree, Economics
Yuri Korchak Yuri Korchak's Advisors Asset Management, Inc. Experience August 2014 - October 2014
Job Attended Saint Mary's University of Minnesota
Industry Marketing and Advertising
Experience
Rural Health Telecom January 2015 - Present
Advisors Asset Management, Inc. August 2014 - October 2014
Skills
Advertising, Event Planning, Microsoft Office, Public Speaking, Microsoft Excel, PowerPoint, Social Media, Customer Service, Microsoft Word, Research, Teamwork, Leadership, Profile Building, Marketing, Management, Social Networking, Time Management, Sales, Event Management, Facebook, Social Media Marketing, Public Relations, Marketing Communications
Education
Saint Mary's University of Minnesota 2012 — 2014
Bachelor's Degree, Marketing, 3.00
Rock Valley College 2010 — 2011
Associate’s Degree, General Studies
Rural Health Telecom January 2015 - Present
Advisors Asset Management, Inc. August 2014 - October 2014
Skills
Advertising, Event Planning, Microsoft Office, Public Speaking, Microsoft Excel, PowerPoint, Social Media, Customer Service, Microsoft Word, Research, Teamwork, Leadership, Profile Building, Marketing, Management, Social Networking, Time Management, Sales, Event Management, Facebook, Social Media Marketing, Public Relations, Marketing Communications
Education
Saint Mary's University of Minnesota 2012 — 2014
Bachelor's Degree, Marketing, 3.00
Rock Valley College 2010 — 2011
Associate’s Degree, General Studies
Andrew Almeida, CFA's Advisors Asset Management, Inc. Experience January 2012 - March 2014
Job Portfolio Analyst at City National Rochdale
Industry Investment Management
Experience
City National Rochdale July 2014 - Present
Advisors Asset Management, Inc. January 2012 - March 2014
J.P. Morgan September 2011 - January 2012
JPMorgan Chase October 2008 - May 2010
Education
Hofstra University 2007 — 2011
BBA, Finance
City National Rochdale July 2014 - Present
Advisors Asset Management, Inc. January 2012 - March 2014
J.P. Morgan September 2011 - January 2012
JPMorgan Chase October 2008 - May 2010
Education
Hofstra University 2007 — 2011
BBA, Finance
Erin Macias Erin Macias's Advisors Asset Management, Inc. Experience January 2010 - December 2013
Job Registered Representative
Industry Financial Services
Experience
LPL Financial January 2014 - Present
Advisors Asset Management, Inc. January 2010 - December 2013
Advisors Asset Management, Inc. January 2008 - January 2010
Fixed Income Securities January 1998 - January 2008
ValuBond 2001 - 2003
Skills
Series 7, Series 63, Investments, Microsoft Office, Wealth Management, Bloomberg, Sales, Retirement Planning, Investment Management, Fixed Income, Equities, Microsoft Excel, Customer Service, PowerPoint, Business Development, Dell Workstations, Securities, Bonds, Dell KACE, Series 65, Software Documentation, Sales Management, Salesforce.com, Unit Investment Trusts, Structured Products
Education
San Diego State University-California State University 2011 — 2014
Bachelor of Science in Business Administration, Business Administration and Management, General
San Diego City College 2004 — 2007
Associates, Liberal Arts and Sciences, General Studies and Humanities
LPL Financial January 2014 - Present
Advisors Asset Management, Inc. January 2010 - December 2013
Advisors Asset Management, Inc. January 2008 - January 2010
Fixed Income Securities January 1998 - January 2008
ValuBond 2001 - 2003
Skills
Series 7, Series 63, Investments, Microsoft Office, Wealth Management, Bloomberg, Sales, Retirement Planning, Investment Management, Fixed Income, Equities, Microsoft Excel, Customer Service, PowerPoint, Business Development, Dell Workstations, Securities, Bonds, Dell KACE, Series 65, Software Documentation, Sales Management, Salesforce.com, Unit Investment Trusts, Structured Products
Education
San Diego State University-California State University 2011 — 2014
Bachelor of Science in Business Administration, Business Administration and Management, General
San Diego City College 2004 — 2007
Associates, Liberal Arts and Sciences, General Studies and Humanities
Michael Pucci Michael Pucci's Advisors Asset Management, Inc. Experience August 2015 - Present
Job Internal Sales Consultant at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. August 2015 - Present
UBS September 2014 - May 2015
Morgan Stanley June 2011 - July 2014
Education
Adelphi University 2013 — 2014
Master's degree, MBA
Adelphi University 2009 — 2013
Bachelors of Business Administration, Management with Specialization in Finance
Chaminade High School
Advisors Asset Management, Inc. August 2015 - Present
UBS September 2014 - May 2015
Morgan Stanley June 2011 - July 2014
Education
Adelphi University 2013 — 2014
Master's degree, MBA
Adelphi University 2009 — 2013
Bachelors of Business Administration, Management with Specialization in Finance
Chaminade High School
Patrick Bonanno's Advisors Asset Management, Inc. Experience November 2014 - Present
Job Regional Vice President Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. November 2014 - Present
VMTurbo May 2014 - November 2014
AllianceBernstein September 2011 - April 2014
AllianceBernstein September 2010 - September 2011
Metropolitan Funding Corp January 2010 - September 2010
Banc of America Securities June 2009 - August 2009
Merrill Lynch June 2008 - August 2008
Education
Salisbury University 2007 — 2009
B.S., Finance
The London School of Economics and Political Science (LSE) 2007 — 2007
Political Science
Chaminade High School 2000 — 2004
Advisors Asset Management, Inc. November 2014 - Present
VMTurbo May 2014 - November 2014
AllianceBernstein September 2011 - April 2014
AllianceBernstein September 2010 - September 2011
Metropolitan Funding Corp January 2010 - September 2010
Banc of America Securities June 2009 - August 2009
Merrill Lynch June 2008 - August 2008
Education
Salisbury University 2007 — 2009
B.S., Finance
The London School of Economics and Political Science (LSE) 2007 — 2007
Political Science
Chaminade High School 2000 — 2004
Ryan Kephart Ryan Kephart's Advisors Asset Management, Inc. Experience July 2013 - August 2013
Job Racker at Rackspace, the #1 managed cloud company
Industry Financial Services
Experience
Rackspace, the #1 managed cloud company July 2015 - Present
Stouffer & Associates December 2014 - May 2015
Self-Employed August 2013 - August 2014
Advisors Asset Management, Inc. July 2013 - August 2013
Merrill Lynch April 2012 - March 2013
Skills
DCF, Personal Finance, IPO, Financial Reporting, Fundamental Analysis, Electronic Trading, Separately Managed..., Volatility, Accounting, Leadership, Managerial Finance, Equities, Wealth Management, Capital Markets
Education
Alamo Heights H.S.
MacArthur High School
St. Mary's Hall
University of Southern California - Marshall School of Business 2007 — 2008
Transferred, Business Administration and Management, General
St. Edward's University 2009 — 2011
B.S. Business Administration, Management
Rackspace, the #1 managed cloud company July 2015 - Present
Stouffer & Associates December 2014 - May 2015
Self-Employed August 2013 - August 2014
Advisors Asset Management, Inc. July 2013 - August 2013
Merrill Lynch April 2012 - March 2013
Skills
DCF, Personal Finance, IPO, Financial Reporting, Fundamental Analysis, Electronic Trading, Separately Managed..., Volatility, Accounting, Leadership, Managerial Finance, Equities, Wealth Management, Capital Markets
Education
Alamo Heights H.S.
MacArthur High School
St. Mary's Hall
University of Southern California - Marshall School of Business 2007 — 2008
Transferred, Business Administration and Management, General
St. Edward's University 2009 — 2011
B.S. Business Administration, Management
Gregory J. McLean Gregory J. McLean's Advisors Asset Management, Inc. Experience 2013 - 2014
Job Vice President Rockland Trust Investment Management Group.
Industry Financial Services
Experience
Rockland Trust December 2014 - Present
Advisors Asset Management, Inc. 2013 - 2014
Merrill Lynch 2011 - 2013
Morgan Stanley Smith Barney 2009 - 2011
John Hancock Investments 2004 - 2009
John Hancock Investments 1997 - 2004
Skills
Series 7, Mutual Funds, Asset Managment, Alternative Investments, Training, Equity Trading, Investments, Strategic Financial..., Asset Management, Asset Allocation, Business Development, Finance, Financial Advisory, Forecasting, Series 63, Wealth Management, Retirement Planning, Financial Services, Financial Planning, Portfolio Management
Education
Saint Michael's College 1992 — 1997
Bachelor of Arts (B.A.), Psychology
Brewster Academy 1991 — 1992
Rockland Trust December 2014 - Present
Advisors Asset Management, Inc. 2013 - 2014
Merrill Lynch 2011 - 2013
Morgan Stanley Smith Barney 2009 - 2011
John Hancock Investments 2004 - 2009
John Hancock Investments 1997 - 2004
Skills
Series 7, Mutual Funds, Asset Managment, Alternative Investments, Training, Equity Trading, Investments, Strategic Financial..., Asset Management, Asset Allocation, Business Development, Finance, Financial Advisory, Forecasting, Series 63, Wealth Management, Retirement Planning, Financial Services, Financial Planning, Portfolio Management
Education
Saint Michael's College 1992 — 1997
Bachelor of Arts (B.A.), Psychology
Brewster Academy 1991 — 1992
Tony Saba Tony Saba's Advisors Asset Management, Inc. Experience July 2007 - Present
Job Internal Sales Consultant Supervisor at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. July 2007 - Present
Claymore Securities January 2002 - July 2007
Nuveen Investments 1999 - 2002
Skills
Series 7, Mutual Funds, Series 63, Investments, Alternative Investments, Asset Allocation, Wealth Management, Asset Management, Securities, Fixed Income
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 1999 — 2001
MBA, Marketing, Management, & Entrepreneurship
University of St. Thomas 1993 — 1996
Bachelor of Arts, Financial Management
Advisors Asset Management, Inc. July 2007 - Present
Claymore Securities January 2002 - July 2007
Nuveen Investments 1999 - 2002
Skills
Series 7, Mutual Funds, Series 63, Investments, Alternative Investments, Asset Allocation, Wealth Management, Asset Management, Securities, Fixed Income
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 1999 — 2001
MBA, Marketing, Management, & Entrepreneurship
University of St. Thomas 1993 — 1996
Bachelor of Arts, Financial Management
Kevin Smithies's Advisors Asset Management, Inc. Experience September 2015 - Present
Job Vice President at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. September 2015 - Present
Incapital March 2015 - July 2015
BMO Capital Markets August 2011 - February 2015
Stone Harbor Investment Partners June 2008 - August 2011
Bear Stearns & Co. Inc February 2005 - June 2008
Bear Stearns & Co. Inc March 2004 - February 2005
Education
Bucknell University
Advisors Asset Management, Inc. September 2015 - Present
Incapital March 2015 - July 2015
BMO Capital Markets August 2011 - February 2015
Stone Harbor Investment Partners June 2008 - August 2011
Bear Stearns & Co. Inc February 2005 - June 2008
Bear Stearns & Co. Inc March 2004 - February 2005
Education
Bucknell University
Grant Wesely, CRPC Grant Wesely, CRPC's Advisors Asset Management, Inc. Experience November 2014 - Present
Job
Industry Financial Services
Experience
Advisors Asset Management, Inc. November 2014 - Present
Pacific Life Insurance Company October 2010 - October 2014
USAA March 2010 - September 2010
Wells Fargo Advisors, LLC June 2008 - March 2010
ING U.S. Investment Management October 2006 - June 2008
AIG VALIC November 2005 - October 2006
Skills
Advanced Sales, Asset Allocation, Business Planning, Concept Knowledge, Consultative Sales, Estate Planning, Executive Benefits, Family Protection, Financial Products, Income Planning, Life Insurance, Long-Term Care, Public Speaking, Retirement, Retirement Plans, Retirement Planning, Retirement Strategies, Sales, Series 7, Series 63, Survivorship Life, Term Life Insurance, Territory Management, Mutual Funds, Unit Investment Trusts, Separately Managed..., Series 65
Education
Arizona State University, W. P. Carey School of Business
Bachelors Degree
Thomas Jefferson HS
Advisors Asset Management, Inc. November 2014 - Present
Pacific Life Insurance Company October 2010 - October 2014
USAA March 2010 - September 2010
Wells Fargo Advisors, LLC June 2008 - March 2010
ING U.S. Investment Management October 2006 - June 2008
AIG VALIC November 2005 - October 2006
Skills
Advanced Sales, Asset Allocation, Business Planning, Concept Knowledge, Consultative Sales, Estate Planning, Executive Benefits, Family Protection, Financial Products, Income Planning, Life Insurance, Long-Term Care, Public Speaking, Retirement, Retirement Plans, Retirement Planning, Retirement Strategies, Sales, Series 7, Series 63, Survivorship Life, Term Life Insurance, Territory Management, Mutual Funds, Unit Investment Trusts, Separately Managed..., Series 65
Education
Arizona State University, W. P. Carey School of Business
Bachelors Degree
Thomas Jefferson HS
Jonathan Simkin's Advisors Asset Management, Inc. Experience July 2009 - September 2009
Job Cofounder and CEO at Swyft
Industry Internet
Experience
Swyft May 2014 - Present
Rafter, Inc. March 2014 - May 2014
Rafter, Inc. June 2012 - March 2014
HubEdu, Inc. (Acquired by Rafter) February 2012 - June 2012
SwoopThat, LLC May 2010 - June 2012
Advisors Asset Management, Inc. July 2009 - September 2009
Tapioca Mobile May 2008 - September 2008
Promotion Sports, Inc. 2006 - 2007
UCSD, National Center for Microscopy and Imaging Research 2004 - 2005
Skills
Entrepreneurship, Product Development, Product Management, Data Analysis, Startup Development, Product Marketing, Product Design, Product Strategies, mobile, Business Strategy, Business Development, Deal Execution, Start-ups, Mobile Devices, E-commerce, Strategic Partnerships, Business Planning, Social Media Marketing, Online Marketing, Marketing Strategy, Mergers & Acquisitions, Analytics, Hockey, Competitive Analysis, SaaS, Mobile Applications, Venture Capital, Strategy, Web Analytics, Go-to-market Strategy, Mobile Marketing, Angel Investing, User Experience, SEM, Lean Startup, Culinary Skills, Big Data, SEO, Internet Strategy, Affiliate Marketing, Management, Leadership, Ruby on Rails, Lead Generation, Amazon Web Services...
Education
Harvey Mudd College 2006 — 2010
BS, Engineering
Swyft May 2014 - Present
Rafter, Inc. March 2014 - May 2014
Rafter, Inc. June 2012 - March 2014
HubEdu, Inc. (Acquired by Rafter) February 2012 - June 2012
SwoopThat, LLC May 2010 - June 2012
Advisors Asset Management, Inc. July 2009 - September 2009
Tapioca Mobile May 2008 - September 2008
Promotion Sports, Inc. 2006 - 2007
UCSD, National Center for Microscopy and Imaging Research 2004 - 2005
Skills
Entrepreneurship, Product Development, Product Management, Data Analysis, Startup Development, Product Marketing, Product Design, Product Strategies, mobile, Business Strategy, Business Development, Deal Execution, Start-ups, Mobile Devices, E-commerce, Strategic Partnerships, Business Planning, Social Media Marketing, Online Marketing, Marketing Strategy, Mergers & Acquisitions, Analytics, Hockey, Competitive Analysis, SaaS, Mobile Applications, Venture Capital, Strategy, Web Analytics, Go-to-market Strategy, Mobile Marketing, Angel Investing, User Experience, SEM, Lean Startup, Culinary Skills, Big Data, SEO, Internet Strategy, Affiliate Marketing, Management, Leadership, Ruby on Rails, Lead Generation, Amazon Web Services...
Education
Harvey Mudd College 2006 — 2010
BS, Engineering
Eileen Hayes's Advisors Asset Management, Inc. Experience June 2006 - September 2006
Job Vice President, Enterprise Consultant at Envestnet, Inc
Industry Investment Management
Experience
Envestnet, Inc May 2015 - Present
US Boston Capital (Distributor of Pear Tree Funds) April 2011 - April 2015
Contravisory Investment Management April 2009 - February 2011
Advisors Asset Management July 2007 - April 2009
Advisors Asset Management, Inc. June 2006 - September 2006
Skills
Investment Management, Series 7, Series 63, Series 65, Mutual Funds, Asset Management, Investments, Relationship Management, CRM, Financial Advisory, Business Development, Emerging Markets, Credit, Securities, Asset Allocation
Education
Bryant University 2003 — 2007
BA in Business Administration, Finance
Smithtown High School 1999 — 2003
Envestnet, Inc May 2015 - Present
US Boston Capital (Distributor of Pear Tree Funds) April 2011 - April 2015
Contravisory Investment Management April 2009 - February 2011
Advisors Asset Management July 2007 - April 2009
Advisors Asset Management, Inc. June 2006 - September 2006
Skills
Investment Management, Series 7, Series 63, Series 65, Mutual Funds, Asset Management, Investments, Relationship Management, CRM, Financial Advisory, Business Development, Emerging Markets, Credit, Securities, Asset Allocation
Education
Bryant University 2003 — 2007
BA in Business Administration, Finance
Smithtown High School 1999 — 2003
Davian Bustillo Davian Bustillo's Advisors Asset Management, Inc. Experience January 2012 - September 2013
Job Private Client Administrator
Industry Financial Services
Experience
AllianceBernstein February 2014 - Present
Advisors Asset Management, Inc. January 2012 - September 2013
Apple Retail September 2010 - December 2011
Best Buy September 2005 - August 2010
Cold Stone Creamery May 2004 - September 2006
Skills
iWork, iLife, Finance, Customer Service, Retail, Investments, Microsoft Office, PowerPoint, Strategic Financial..., Financial Analysis, Microsoft Excel, Sales, Microsoft Word, Customer Satisfaction, Public Speaking, Time Management
Education
The University of Texas at San Antonio 2009 — 2012
Business, Finance, 3.0
Northwest Vista College 2004 — 2008
Associate of Arts (A.A.), Business Administration and Management, General, 3.5
AllianceBernstein February 2014 - Present
Advisors Asset Management, Inc. January 2012 - September 2013
Apple Retail September 2010 - December 2011
Best Buy September 2005 - August 2010
Cold Stone Creamery May 2004 - September 2006
Skills
iWork, iLife, Finance, Customer Service, Retail, Investments, Microsoft Office, PowerPoint, Strategic Financial..., Financial Analysis, Microsoft Excel, Sales, Microsoft Word, Customer Satisfaction, Public Speaking, Time Management
Education
The University of Texas at San Antonio 2009 — 2012
Business, Finance, 3.0
Northwest Vista College 2004 — 2008
Associate of Arts (A.A.), Business Administration and Management, General, 3.5
Eric Koch's Advisors Asset Management, Inc. Experience March 2010 - August 2012
Job Consulting Group Analyst at Morgan Stanley
Industry Financial Services
Experience
Morgan Stanley August 2012 - Present
Advisors Asset Management, Inc. March 2010 - August 2012
Advisors Asset Management, Inc. August 2009 - November 2009
Oregon State University September 2007 - June 2009
Community Psychiatric Clinic July 2006 - August 2007
Skills
Statistics, Statistical Modeling, SAS, Data Analysis, Teaching, Time Series Analysis, SAS programming, R
Education
Oregon State University 2007 — 2009
Master of Science, Statistics
University of Washington 2002 — 2006
Bachelor of Science, Statistics
Morgan Stanley August 2012 - Present
Advisors Asset Management, Inc. March 2010 - August 2012
Advisors Asset Management, Inc. August 2009 - November 2009
Oregon State University September 2007 - June 2009
Community Psychiatric Clinic July 2006 - August 2007
Skills
Statistics, Statistical Modeling, SAS, Data Analysis, Teaching, Time Series Analysis, SAS programming, R
Education
Oregon State University 2007 — 2009
Master of Science, Statistics
University of Washington 2002 — 2006
Bachelor of Science, Statistics
Aaron McLean's Advisors Asset Management, Inc. Experience January 2013 - August 2014
Job Associate Analyst Oil & Gas at Standard & Poor's
Industry Financial Services
Experience
Standard & Poor's January 2015 - Present
Advisors Asset Management, Inc. January 2013 - August 2014
Bloomberg LP June 2000 - December 2012
Skills
Fixed Income, Bloomberg Terminal, Series 7, Bloomberg, Municipal Bonds, Series 66, Financial Analysis, Portfolio Performance..., Valuation Analysis, Credit Analysis, Risk Analysis, Financial Statement..., Microsoft Excel, Quantitative Analytics, Asset Allocation, Municipal Credit..., Corporate Credit..., Portfolio Management, Valuation
Education
Creighton University
Master's Degree, Investment Management & Financial Analysis
Bloomsburg University of Pennsylvania
B.S, Business Administration, Economics
Standard & Poor's January 2015 - Present
Advisors Asset Management, Inc. January 2013 - August 2014
Bloomberg LP June 2000 - December 2012
Skills
Fixed Income, Bloomberg Terminal, Series 7, Bloomberg, Municipal Bonds, Series 66, Financial Analysis, Portfolio Performance..., Valuation Analysis, Credit Analysis, Risk Analysis, Financial Statement..., Microsoft Excel, Quantitative Analytics, Asset Allocation, Municipal Credit..., Corporate Credit..., Portfolio Management, Valuation
Education
Creighton University
Master's Degree, Investment Management & Financial Analysis
Bloomsburg University of Pennsylvania
B.S, Business Administration, Economics
Joe Colon Joe Colon's Advisors Asset Management, Inc. Experience December 2009 - October 2013
Job IT Help Desk Technician at Advisors Asset Management, Inc.
Industry Information Technology and Services
Experience
Advisors Asset Management, Inc. December 2009 - October 2013
Pfizer January 2007 - February 2008
CompuCom 2007 - 2008
rand mcnally 2005 - 2006
river dell board of education 2005 - 2005
paramus board of education 2004 - 2005
hsbc 2000 - 2003
ing barings 1999 - 2000
bankers trust 1996 - 1999
deutsche bank 1996 - 1999
Skills
Software Documentation, Asset Managment, Business Analysis, Help Desk Support, Active Directory, Process Improvement, Laptops, Project Management, Troubleshooting, Windows 7, Windows, Microsoft Office, Change Management, Customer Service, Computer Hardware, Asset Management, Vendor Management, System Administration, Technical Support, Disaster Recovery, IT Management, SharePoint, IT Service Management, ITIL, IT Operations, Software Installation, Visio, Servers, Routers, Windows XP
Education
Pace University 1994 — 1997
Information Systems
Mercy College 1981 — 1984
Bachelor of Science (BS), finance
Advisors Asset Management, Inc. December 2009 - October 2013
Pfizer January 2007 - February 2008
CompuCom 2007 - 2008
rand mcnally 2005 - 2006
river dell board of education 2005 - 2005
paramus board of education 2004 - 2005
hsbc 2000 - 2003
ing barings 1999 - 2000
bankers trust 1996 - 1999
deutsche bank 1996 - 1999
Skills
Software Documentation, Asset Managment, Business Analysis, Help Desk Support, Active Directory, Process Improvement, Laptops, Project Management, Troubleshooting, Windows 7, Windows, Microsoft Office, Change Management, Customer Service, Computer Hardware, Asset Management, Vendor Management, System Administration, Technical Support, Disaster Recovery, IT Management, SharePoint, IT Service Management, ITIL, IT Operations, Software Installation, Visio, Servers, Routers, Windows XP
Education
Pace University 1994 — 1997
Information Systems
Mercy College 1981 — 1984
Bachelor of Science (BS), finance
Andrew Draluck Andrew Draluck's Advisors Asset Management, Inc. Experience 2010 - April 2011
Job Great Western Investments & Insurance
Industry Investment Management
Experience
Great Western Bank October 2014 - Present
eMoney Advisor February 2013 - May 2014
Wells Fargo Advisors, LLC October 2011 - February 2013
Advisors Asset Management, Inc. 2010 - April 2011
Curian Capital 2002 - 2009
ING Funds 1999 - 2001
J&W Seligman 1993 - 1998
Skills
Structured Products, Series 63, Financial Services, Asset Allocation, Sales, Fixed Annuities, Alternative Investments, Mutual Funds, Leadership, Series 7, Investments, Separately Managed..., Training, Financial Advisory, Securities, ETFs, Series 65, Sales Management, Management, Sales Operations, Marketing Strategy, Insurance, Wealth Management, Retirement Planning
Education
Florida Atlantic University 1989 — 1991
BBA, Finance
Marlboro High School 1982 — 1986
High School Diploma, Academic
Great Western Bank October 2014 - Present
eMoney Advisor February 2013 - May 2014
Wells Fargo Advisors, LLC October 2011 - February 2013
Advisors Asset Management, Inc. 2010 - April 2011
Curian Capital 2002 - 2009
ING Funds 1999 - 2001
J&W Seligman 1993 - 1998
Skills
Structured Products, Series 63, Financial Services, Asset Allocation, Sales, Fixed Annuities, Alternative Investments, Mutual Funds, Leadership, Series 7, Investments, Separately Managed..., Training, Financial Advisory, Securities, ETFs, Series 65, Sales Management, Management, Sales Operations, Marketing Strategy, Insurance, Wealth Management, Retirement Planning
Education
Florida Atlantic University 1989 — 1991
BBA, Finance
Marlboro High School 1982 — 1986
High School Diploma, Academic
Maria Yakir Maria Yakir's Advisors Asset Management, Inc. Experience August 2009 - August 2011
Job Executive Assistant at Wolters Kluwer
Industry Financial Services
Experience
Atalanta Corporation December 2011 - May 2014
Advisors Asset Management, Inc. August 2009 - August 2011
SourceMedia March 2005 - April 2009
Thomson Financial November 2002 - March 2005
Verizon Federal November 1999 - July 2002
Ford Motor Company January 1994 - January 1998
IPAX International January 1990 - January 1994
Skills
Management, Training, Human Resources, Recruiting, Budgets, Administrative..., Event Management, Event Planning, Sales, Customer Service, Public Relations, PowerPoint, Time Management, Organizational..., Office Management, Outlook, Salesforce.com
Education
Michigan State University
Atalanta Corporation December 2011 - May 2014
Advisors Asset Management, Inc. August 2009 - August 2011
SourceMedia March 2005 - April 2009
Thomson Financial November 2002 - March 2005
Verizon Federal November 1999 - July 2002
Ford Motor Company January 1994 - January 1998
IPAX International January 1990 - January 1994
Skills
Management, Training, Human Resources, Recruiting, Budgets, Administrative..., Event Management, Event Planning, Sales, Customer Service, Public Relations, PowerPoint, Time Management, Organizational..., Office Management, Outlook, Salesforce.com
Education
Michigan State University
Brad Yocum's Advisors Asset Management, Inc. Experience September 2010 - December 2014
Job Internal Advisor Consultant at Nuveen Investments
Industry Financial Services
Experience
Nuveen Investments January 2015 - Present
Advisors Asset Management, Inc. September 2010 - December 2014
Skills
Series 7, Securities, Series 63, Alternative Investments, Bloomberg, Asset Allocation, Investments, Equities, Asset Managment, Series 65, Bloomberg Terminal, Uniform Combined State..., Mutual Funds
Education
Rider University 2006 — 2010
A Bachelor's Degree, Finance
Pleasant Valley High School 2002 — 2006
Nuveen Investments January 2015 - Present
Advisors Asset Management, Inc. September 2010 - December 2014
Skills
Series 7, Securities, Series 63, Alternative Investments, Bloomberg, Asset Allocation, Investments, Equities, Asset Managment, Series 65, Bloomberg Terminal, Uniform Combined State..., Mutual Funds
Education
Rider University 2006 — 2010
A Bachelor's Degree, Finance
Pleasant Valley High School 2002 — 2006
Steve Prew Steve Prew's Advisors Asset Management, Inc. Experience February 2007 - June 2011
Job AVP Business Development at Transamerica
Industry Financial Services
Experience
Transamerica July 2012 - Present
Ziegler Wealth Management July 2011 - July 2012
Advisors Asset Management, Inc. February 2007 - June 2011
Transamerica June 2006 - February 2007
Ziegler May 2005 - June 2006
Curian Capital July 2004 - May 2005
Atlas Securities March 2000 - July 2004
Janus Capital Group 1996 - 2000
MetLife May 1995 - May 1996
United States Navy June 1990 - June 1994
Skills
Investments, Wealth Management, Business Development, Alternative Investments, Financial Services, Relationship Management, Securities, Leadership, Fixed Income, Management, Sales Management, Product Development, Sales, Strategy, Financial Advisory, New Business Development, Coaching, Customer Service, Strategic Planning, Business Strategy, Mutual Funds, Series 7, Series 63, Finance
Education
Regis University 2013 — 2015
Master of Business Administration (MBA), Strategic Management
Regis University 2007 — 2009
BS, Finance
Transamerica July 2012 - Present
Ziegler Wealth Management July 2011 - July 2012
Advisors Asset Management, Inc. February 2007 - June 2011
Transamerica June 2006 - February 2007
Ziegler May 2005 - June 2006
Curian Capital July 2004 - May 2005
Atlas Securities March 2000 - July 2004
Janus Capital Group 1996 - 2000
MetLife May 1995 - May 1996
United States Navy June 1990 - June 1994
Skills
Investments, Wealth Management, Business Development, Alternative Investments, Financial Services, Relationship Management, Securities, Leadership, Fixed Income, Management, Sales Management, Product Development, Sales, Strategy, Financial Advisory, New Business Development, Coaching, Customer Service, Strategic Planning, Business Strategy, Mutual Funds, Series 7, Series 63, Finance
Education
Regis University 2013 — 2015
Master of Business Administration (MBA), Strategic Management
Regis University 2007 — 2009
BS, Finance
Evangeline Kanaris's Advisors Asset Management, Inc. Experience February 2014 - Present
Job Internal Sales Consultant at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. February 2014 - Present
Skills
Mutual Funds, Financial Advisory, Hedge Funds, Portfolio Management, Strategic Planning, Series 7, Valuation, Series 63, Investments, Strategy, Management, Business Development, Marketing, Wealth Management, Retirement Planning, Financial Services, Finance, Relationship Management, Sales, Alternative Investments, New Business Development, ETFs, Investment Strategies, Asset Management
Education
Northwestern University
Economics, 3.6
Advisors Asset Management, Inc. February 2014 - Present
Skills
Mutual Funds, Financial Advisory, Hedge Funds, Portfolio Management, Strategic Planning, Series 7, Valuation, Series 63, Investments, Strategy, Management, Business Development, Marketing, Wealth Management, Retirement Planning, Financial Services, Finance, Relationship Management, Sales, Alternative Investments, New Business Development, ETFs, Investment Strategies, Asset Management
Education
Northwestern University
Economics, 3.6
Pk Jain's Advisors Asset Management, Inc. Experience 2010 - 2012
Job Senior Managing Director at White, Weld & Co.
Industry Financial Services
Experience
White, Weld & Co. 2012 - Present
Advisors Asset Management, Inc. 2010 - 2012
Broadpoint Gleacher 2007 - 2010
Fieldstone Private Capital Group, Inc. 2004 - 2007
ABN AMRO Bank N.V. 2002 - 2004
Sanwa Bank (now Bank of Tokyo-Mitsubishi UFJ) 1998 - 2001
Salomon Brothers (now Citigroup) 1995 - 1998
Bankers Trust (now Deutsche Bank) 1991 - 1995
Continental Illinois National Bank (now Bank of America) 1985 - 1991
Skills
Fixed Income, Equities, Sales Management, Capital Markets, Trading, Portfolio Management, Hedge Funds, Asset Management, Investments, Bloomberg, Derivatives, Investment Banking
Education
Washington University in St. Louis - Olin Business School 1983 — 1985
Master of Business Administration (MBA), Banking, Corporate, Finance, and Securities Law
Penn State University 1976 — 1980
Bachelor of Science (BS), Economics, Accounting
White, Weld & Co. 2012 - Present
Advisors Asset Management, Inc. 2010 - 2012
Broadpoint Gleacher 2007 - 2010
Fieldstone Private Capital Group, Inc. 2004 - 2007
ABN AMRO Bank N.V. 2002 - 2004
Sanwa Bank (now Bank of Tokyo-Mitsubishi UFJ) 1998 - 2001
Salomon Brothers (now Citigroup) 1995 - 1998
Bankers Trust (now Deutsche Bank) 1991 - 1995
Continental Illinois National Bank (now Bank of America) 1985 - 1991
Skills
Fixed Income, Equities, Sales Management, Capital Markets, Trading, Portfolio Management, Hedge Funds, Asset Management, Investments, Bloomberg, Derivatives, Investment Banking
Education
Washington University in St. Louis - Olin Business School 1983 — 1985
Master of Business Administration (MBA), Banking, Corporate, Finance, and Securities Law
Penn State University 1976 — 1980
Bachelor of Science (BS), Economics, Accounting
Robert Albano's Advisors Asset Management, Inc. Experience February 2010 - December 2010
Job Chiropractor
Industry Health, Wellness and Fitness
Experience
Spine & Health Center of Elizabeth January 2011 - Present
Advisors Asset Management, Inc. February 2010 - December 2010
X Shares June 2007 - February 2008
XTF Global Asset Management March 2006 - March 2007
Education
New York Chiropractic College 1994 — 1998
DC, Chiropractic
Wagner College 1989 — 1993
BS, Biology
Spine & Health Center of Elizabeth January 2011 - Present
Advisors Asset Management, Inc. February 2010 - December 2010
X Shares June 2007 - February 2008
XTF Global Asset Management March 2006 - March 2007
Education
New York Chiropractic College 1994 — 1998
DC, Chiropractic
Wagner College 1989 — 1993
BS, Biology
Thomas Koorey's Advisors Asset Management, Inc. Experience March 2003 - June 2011
Job Vice President FIG, UIT Trading/Sales at Maxim Group
Industry Investment Management
Experience
Maxim Group January 2013 - Present
Advisors Asset Management, Inc. March 2003 - June 2011
Southwest Securities October 1998 - November 2002
Roosevelt & Cross Inc. March 1985 - October 1998
Moseley Securities 1981 - 1985
Skills
Series 7, Series 24, Series 55, Series 63, unit investment trusts, Trading Desk Management, Broker/dealer sales, Fixed Income, FINRA, Maintaining Strong..., Market Making, Bloomberg
Education
State University of New York College at Cortland 1976 — 1980
BS, Economics
Maxim Group January 2013 - Present
Advisors Asset Management, Inc. March 2003 - June 2011
Southwest Securities October 1998 - November 2002
Roosevelt & Cross Inc. March 1985 - October 1998
Moseley Securities 1981 - 1985
Skills
Series 7, Series 24, Series 55, Series 63, unit investment trusts, Trading Desk Management, Broker/dealer sales, Fixed Income, FINRA, Maintaining Strong..., Market Making, Bloomberg
Education
State University of New York College at Cortland 1976 — 1980
BS, Economics
Christopher P. Lengle's Advisors Asset Management, Inc. Experience 2011 - 2013
Job Chief Strategy Officer at Invessence, Inc.
Industry Financial Services
Experience
Invessence Inc. January 2013 - Present
Advisors Asset Management, Inc. 2011 - 2013
Aritas Group, Inc. 2008 - 2011
Merrill Lynch 2004 - 2007
Education
Georgetown University
Bachelor’s Degree
Georgetown University
Bachelor’s Degree
Invessence Inc. January 2013 - Present
Advisors Asset Management, Inc. 2011 - 2013
Aritas Group, Inc. 2008 - 2011
Merrill Lynch 2004 - 2007
Education
Georgetown University
Bachelor’s Degree
Georgetown University
Bachelor’s Degree
Ronald Farrise's Advisors Asset Management, Inc. Experience June 2003 - July 2007
Job Regional Vice PresidentWholesalerSmart Trust Unit Investment Trusts
Industry Financial Services
Experience
SmartTrust® January 2009 - Present
Claymore Securities August 2007 - October 2008
Advisors Asset Management, Inc. June 2003 - July 2007
Guardian Life June 1996 - June 2003
Skills
ETFs, Separately Managed..., Closed-end Funds, Securities, Investments, Bonds, Series 7, Series 63, Annuities, Alternative Investments, Investment Strategies, Wholesaling, Fixed Income, Asset Allocation, Asset Management, Financial Markets, Financial Planning, Unit Trusts, Mutual Funds, Fixed Annuities, Equities, Financial Services, Portfolio Management, FINRA
Education
State University of New York College at Buffalo 1977 — 1981
BA, Business Management/Communications, 3.0
SmartTrust® January 2009 - Present
Claymore Securities August 2007 - October 2008
Advisors Asset Management, Inc. June 2003 - July 2007
Guardian Life June 1996 - June 2003
Skills
ETFs, Separately Managed..., Closed-end Funds, Securities, Investments, Bonds, Series 7, Series 63, Annuities, Alternative Investments, Investment Strategies, Wholesaling, Fixed Income, Asset Allocation, Asset Management, Financial Markets, Financial Planning, Unit Trusts, Mutual Funds, Fixed Annuities, Equities, Financial Services, Portfolio Management, FINRA
Education
State University of New York College at Buffalo 1977 — 1981
BA, Business Management/Communications, 3.0
Tim Stoklosa's Advisors Asset Management, Inc. Experience August 2009 - Present
Job Executive Vice President at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. August 2009 - Present
Clearbrook Financial, LLC February 2004 - July 2009
RCN Corporation September 1997 - February 2004
C-TEC Corp. (Commonwealth Telephone) September 1994 - September 1997
Peter Kiewit Sons', Inc. January 1991 - September 1994
Deloitte & Touche September 1984 - July 1988
Education
State University of New York at Buffalo - School of Management 1983 — 1984
Master of Business Administration (MBA)
State University of New York at Buffalo - School of Engineering 1979 — 1983
BS, Industrial Engineering
Advisors Asset Management, Inc. August 2009 - Present
Clearbrook Financial, LLC February 2004 - July 2009
RCN Corporation September 1997 - February 2004
C-TEC Corp. (Commonwealth Telephone) September 1994 - September 1997
Peter Kiewit Sons', Inc. January 1991 - September 1994
Deloitte & Touche September 1984 - July 1988
Education
State University of New York at Buffalo - School of Management 1983 — 1984
Master of Business Administration (MBA)
State University of New York at Buffalo - School of Engineering 1979 — 1983
BS, Industrial Engineering
Rob Chiarella's Advisors Asset Management, Inc. Experience August 2009 - June 2011
Job Compliance Manager Sales & Marketing Review at Brown Brothers Harriman
Industry Financial Services
Experience
Brown Brothers Harriman July 2011 - Present
Advisors Asset Management, Inc. August 2009 - June 2011
UBS Financial Services October 2005 - April 2009
UBS Financial Services May 2003 - September 2005
Prudential Financial Incorporated January 2000 - February 2002
Prudential Securities January 1994 - December 1999
Prudential Securities January 1987 - December 1993
Education
Seton Hall University
Bachelor of Science
Brown Brothers Harriman July 2011 - Present
Advisors Asset Management, Inc. August 2009 - June 2011
UBS Financial Services October 2005 - April 2009
UBS Financial Services May 2003 - September 2005
Prudential Financial Incorporated January 2000 - February 2002
Prudential Securities January 1994 - December 1999
Prudential Securities January 1987 - December 1993
Education
Seton Hall University
Bachelor of Science
P.K. Marshall III's Advisors Asset Management, Inc. Experience June 2005 - January 2015
Job Managing Director Investment Services at SWBC
Industry Financial Services
Experience
SWBC February 2015 - Present
Advisors Asset Management, Inc. June 2005 - January 2015
Morgan Stanley January 2004 - June 2005
Skills
Portfolio Optimization, Relative Value, Trading Systems, Trading, Fixed Income, Sales, Investments, Bonds, Structured Finance, Series 7, Series 63, Wealth Management, Asset Management, Finance, Alternative Investments
Education
Colby College 2000 — 2003
Bachelor of Arts (B.A.), Economics
BHS 1996 — 1999
SWBC February 2015 - Present
Advisors Asset Management, Inc. June 2005 - January 2015
Morgan Stanley January 2004 - June 2005
Skills
Portfolio Optimization, Relative Value, Trading Systems, Trading, Fixed Income, Sales, Investments, Bonds, Structured Finance, Series 7, Series 63, Wealth Management, Asset Management, Finance, Alternative Investments
Education
Colby College 2000 — 2003
Bachelor of Arts (B.A.), Economics
BHS 1996 — 1999
Luke Donenfeld, CAIA's Advisors Asset Management, Inc. Experience April 2007 - June 2011
Job Vice President Fixed Income Strategies at First Empire Securities, Inc
Industry Financial Services
Experience
First Empire Securities, Inc April 2012 - Present
First Empire Securities January 2012 - Present
Advisors Asset Management, Inc. April 2007 - June 2011
Advisors Asset Management January 2007 - January 2011
Mulholland Capital Advisors 2006 - 2006
O'Shaughnessy Asset Management, LLC (OSAM) January 1999 - January 2005
Bear Stearns Asset Management Inc. 1999 - 2005
Chase Global Mutual Funds Group January 1998 - January 1999
Van Kampen American Capital January 1997 - January 1998
Diversified Financial Concepts June 1994 - June 1997
Skills
Asset Allocation, Group Presentations, ETFs, Mutual Funds, Alternative Investments, Series 7, Asset Management, Fixed Income, Securities, Institutional, Investments, Portfolio Management, Bonds, Hedge Funds, Equities, Wealth Management, Investment Strategies, Financial Markets, Annuities, Investment Advisory, Retirement, Financial Planning, Due Diligence, Asset, Retirement Planning, Insurance, Wealth, Risk Management, Financial Advisory, Series 63, IRA's, Emerging Markets, Credit, Financial Analysis, Separately Managed..., Compliance, Client Service, SMA, Analysis, Annuity, Managed Accounts, Investment Products, Fixed Income Products, Portfolio Optimization, Stocks, Fund Of Funds, Series 6, Morningstar, Portfolios, Managed Futures
Education
Boston University 1990 — 1994
Bachelor of Liberal Arts, International Relations
Staples High School 1987 — 1990
First Empire Securities, Inc April 2012 - Present
First Empire Securities January 2012 - Present
Advisors Asset Management, Inc. April 2007 - June 2011
Advisors Asset Management January 2007 - January 2011
Mulholland Capital Advisors 2006 - 2006
O'Shaughnessy Asset Management, LLC (OSAM) January 1999 - January 2005
Bear Stearns Asset Management Inc. 1999 - 2005
Chase Global Mutual Funds Group January 1998 - January 1999
Van Kampen American Capital January 1997 - January 1998
Diversified Financial Concepts June 1994 - June 1997
Skills
Asset Allocation, Group Presentations, ETFs, Mutual Funds, Alternative Investments, Series 7, Asset Management, Fixed Income, Securities, Institutional, Investments, Portfolio Management, Bonds, Hedge Funds, Equities, Wealth Management, Investment Strategies, Financial Markets, Annuities, Investment Advisory, Retirement, Financial Planning, Due Diligence, Asset, Retirement Planning, Insurance, Wealth, Risk Management, Financial Advisory, Series 63, IRA's, Emerging Markets, Credit, Financial Analysis, Separately Managed..., Compliance, Client Service, SMA, Analysis, Annuity, Managed Accounts, Investment Products, Fixed Income Products, Portfolio Optimization, Stocks, Fund Of Funds, Series 6, Morningstar, Portfolios, Managed Futures
Education
Boston University 1990 — 1994
Bachelor of Liberal Arts, International Relations
Staples High School 1987 — 1990
Mark B. Cole's Advisors Asset Management, Inc. Experience June 2010 - Present
Job Managing Director, Corporate Bond Trader at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. June 2010 - Present
Merrill Lynch May 2008 - May 2010
Wachovia Securities May 1997 - May 2008
Skills
Series 7, Bonds, Series 63, Series 65, Capital Markets, Trading, series 24, Securities, Equities, Portfolio Management, Financial Services, Investment Banking
Education
Longwood University 1993 — 1997
BSBA, Finance
Advisors Asset Management, Inc. June 2010 - Present
Merrill Lynch May 2008 - May 2010
Wachovia Securities May 1997 - May 2008
Skills
Series 7, Bonds, Series 63, Series 65, Capital Markets, Trading, series 24, Securities, Equities, Portfolio Management, Financial Services, Investment Banking
Education
Longwood University 1993 — 1997
BSBA, Finance
Sandy Franklin's Advisors Asset Management, Inc. Experience May 2008 - December 2013
Job Vice President, Investments
Industry Financial Services
Experience
Advisors Asset Management January 2014 - Present
Advisors Asset Management, Inc. May 2008 - December 2013
Fixed Income Securities January 1994 - March 2008
Skills
Investments, Bonds, Trading, Structured Products, Series 7, Series 63, Fixed Income, Securities, Mutual Funds, Asset Allocation, Asset Management
Education
Louisiana State University 1988 — 1990
Master of Business Administration (M.B.A.), Finance, General
Louisiana State University and Agricultural and Mechanical College 1984 — 1988
Bachelor of Science (B.S.), Economics
Advisors Asset Management January 2014 - Present
Advisors Asset Management, Inc. May 2008 - December 2013
Fixed Income Securities January 1994 - March 2008
Skills
Investments, Bonds, Trading, Structured Products, Series 7, Series 63, Fixed Income, Securities, Mutual Funds, Asset Allocation, Asset Management
Education
Louisiana State University 1988 — 1990
Master of Business Administration (M.B.A.), Finance, General
Louisiana State University and Agricultural and Mechanical College 1984 — 1988
Bachelor of Science (B.S.), Economics
Gary Effman, CFA's Advisors Asset Management, Inc. Experience January 2010 - April 2011
Job Senior Structured Products, Mortgage Market, and Syndicated Loans Specialist
Industry Investment Management
Experience
Bloomberg LP January 2013 - Present
Good Hill Partners May 2011 - September 2012
Advisors Asset Management, Inc. January 2010 - April 2011
ABSolute Solutions September 2008 - December 2009
Old Hill Partners June 2005 - September 2008
Harbert Management Corp November 2004 - June 2005
BANK ONE November 2002 - November 2004
BANK ONE September 2001 - November 2002
Banc One Capital Corp January 1997 - September 2001
First Chicago Capital Markets/Banc One Capital Markets January 1995 - December 1996
Education
The University of Chicago - Booth School of Business 1991 — 1993
MBA, Corporate Finance
Brown University 1982 — 1986
BA, economics
Bloomberg LP January 2013 - Present
Good Hill Partners May 2011 - September 2012
Advisors Asset Management, Inc. January 2010 - April 2011
ABSolute Solutions September 2008 - December 2009
Old Hill Partners June 2005 - September 2008
Harbert Management Corp November 2004 - June 2005
BANK ONE November 2002 - November 2004
BANK ONE September 2001 - November 2002
Banc One Capital Corp January 1997 - September 2001
First Chicago Capital Markets/Banc One Capital Markets January 1995 - December 1996
Education
The University of Chicago - Booth School of Business 1991 — 1993
MBA, Corporate Finance
Brown University 1982 — 1986
BA, economics
JB Golden, CFA's Advisors Asset Management, Inc. Experience September 2004 - Present
Job 1st Vice President, Portfolio Manager
Industry Financial Services
Experience
Advisors Asset Management, Inc. September 2004 - Present
Skills
Series 7, Bonds, Series 63, Alternative Investments, Asset Management, Fixed Income, Wealth Management, Investments, Investment Advisory, Mutual Funds, Securities, Equities, Investment Strategies, Asset Allocation, Portfolio Management, Financial Services
Education
University of Houston 1999 — 2004
MBA, MBA, Finance
University of Houston Law Center 1999 — 2004
JD, Law
Texas A&M University 1994 — 1999
Advisors Asset Management, Inc. September 2004 - Present
Skills
Series 7, Bonds, Series 63, Alternative Investments, Asset Management, Fixed Income, Wealth Management, Investments, Investment Advisory, Mutual Funds, Securities, Equities, Investment Strategies, Asset Allocation, Portfolio Management, Financial Services
Education
University of Houston 1999 — 2004
MBA, MBA, Finance
University of Houston Law Center 1999 — 2004
JD, Law
Texas A&M University 1994 — 1999
Derek Ketel's Advisors Asset Management, Inc. Experience January 2011 - Present
Job Wholesaler at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. January 2011 - Present
Advisors Asset Management, Inc. July 2009 - December 2010
X Shares Securities LLC October 2006 - April 2008
Allstate Distributors, LLC September 2004 - June 2006
Allstate Distributors, LLC October 2003 - September 2004
Morgan Stanley February 2001 - February 2003
Gary Lang Auto Group November 1999 - February 2001
Jennings Chevrolet July 1997 - November 1999
WKEF-TV / NBC 22 July 1995 - May 1997
Hammerhead Productions June 1989 - July 1995
Skills
ETFs, Financial Planning, Alternative Investments, Insurance, SMA, Asset Management, Mutual Funds, Annuities, Retirement Planning, Fixed Income, Investment Advisory, Investment Strategies, Portfolio Management, Hedge Funds, Separately Managed..., Consultative Selling, Wholesaling, Asset Managment, Fixed Annuities, Series 63, Financial Services, Retirement, 401k, FINRA, Series 7, Financial Advisory, Variable Annuities, Investments, Series 65
Education
Ohio University 1990 — 1994
Bachelors, Communications
Glenbrook South 1986 — 1990
Advisors Asset Management, Inc. January 2011 - Present
Advisors Asset Management, Inc. July 2009 - December 2010
X Shares Securities LLC October 2006 - April 2008
Allstate Distributors, LLC September 2004 - June 2006
Allstate Distributors, LLC October 2003 - September 2004
Morgan Stanley February 2001 - February 2003
Gary Lang Auto Group November 1999 - February 2001
Jennings Chevrolet July 1997 - November 1999
WKEF-TV / NBC 22 July 1995 - May 1997
Hammerhead Productions June 1989 - July 1995
Skills
ETFs, Financial Planning, Alternative Investments, Insurance, SMA, Asset Management, Mutual Funds, Annuities, Retirement Planning, Fixed Income, Investment Advisory, Investment Strategies, Portfolio Management, Hedge Funds, Separately Managed..., Consultative Selling, Wholesaling, Asset Managment, Fixed Annuities, Series 63, Financial Services, Retirement, 401k, FINRA, Series 7, Financial Advisory, Variable Annuities, Investments, Series 65
Education
Ohio University 1990 — 1994
Bachelors, Communications
Glenbrook South 1986 — 1990
Ray Gooley's Advisors Asset Management, Inc. Experience October 2009 - Present
Job Chief Marketing Officer
Industry Financial Services
Experience
Advisors Asset Management, Inc. October 2009 - Present
Clearbrook Financial December 2005 - September 2009
UBS Global Asset Management January 2000 - December 2005
Skills
Series 7, Asset Management, Managed Accounts, Mutual Funds
Education
Boston College 1987 — 1991
BA, Economics
Fairfield Prep High School 1984 — 1987
Advisors Asset Management, Inc. October 2009 - Present
Clearbrook Financial December 2005 - September 2009
UBS Global Asset Management January 2000 - December 2005
Skills
Series 7, Asset Management, Managed Accounts, Mutual Funds
Education
Boston College 1987 — 1991
BA, Economics
Fairfield Prep High School 1984 — 1987
Joseph Natoli's Advisors Asset Management, Inc. Experience November 2009 - Present
Job VP Compliance at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. November 2009 - Present
Rockwell Global Capital LLC January 2006 - April 2009
NFS 2004 - 2005
Maxim Group 1999 - 2004
Skills
Securities, Risk Management, Series 7, AML, Hedge Funds, Financial Services, Capital Markets, Investments, Equities, Investment Advisory, FINRA, Series 24, Asset Management, Alternative Investments, Series 63, Mutual Funds, Fixed Income, Wealth Management, Series 65, Investment Management
Education
Maurice A. Deane School of Law at Hofstra University 1982 — 1985
JD, Law
New York Institute of Technology 1978 — 1982
BS, Business Administration
Carey High School
Advisors Asset Management, Inc. November 2009 - Present
Rockwell Global Capital LLC January 2006 - April 2009
NFS 2004 - 2005
Maxim Group 1999 - 2004
Skills
Securities, Risk Management, Series 7, AML, Hedge Funds, Financial Services, Capital Markets, Investments, Equities, Investment Advisory, FINRA, Series 24, Asset Management, Alternative Investments, Series 63, Mutual Funds, Fixed Income, Wealth Management, Series 65, Investment Management
Education
Maurice A. Deane School of Law at Hofstra University 1982 — 1985
JD, Law
New York Institute of Technology 1978 — 1982
BS, Business Administration
Carey High School
Carr Stokes's Advisors Asset Management, Inc. Experience November 2005 - Present
Job Vice President at Advisors Asset Management
Industry Capital Markets
Experience
Advisors Asset Management, Inc. November 2005 - Present
A.G. Edwards January 2004 - October 2005
Skills
Bonds, Investments, Fixed Income, Estate Planning, Alternative Investments, Finance
Education
Texas A&M International University 2001 — 2004
MBA, International Business
Universidad de Salamanca 2000 — 2001
Spanish
Texas Tech University 1996 — 2000
BS, Political Science
Advisors Asset Management, Inc. November 2005 - Present
A.G. Edwards January 2004 - October 2005
Skills
Bonds, Investments, Fixed Income, Estate Planning, Alternative Investments, Finance
Education
Texas A&M International University 2001 — 2004
MBA, International Business
Universidad de Salamanca 2000 — 2001
Spanish
Texas Tech University 1996 — 2000
BS, Political Science
J.P. Galvin's Advisors Asset Management, Inc. Experience October 2009 - Present
Job Financial Services Professional
Industry Financial Services
Experience
Advisors Asset Management, Inc. October 2009 - Present
UBS Wealth Management May 2001 - May 2009
Education
Providence College 1999 — 2001
BS
Hamilton College 1996 — 1998
Princeton High School 1992 — 1996
Advisors Asset Management, Inc. October 2009 - Present
UBS Wealth Management May 2001 - May 2009
Education
Providence College 1999 — 2001
BS
Hamilton College 1996 — 1998
Princeton High School 1992 — 1996
Matt Rosborough's Advisors Asset Management, Inc. Experience February 2009 - April 2010
Job Wholesaler at Sun America Funds
Industry Financial Services
Experience
Sun America Funds April 2010 - Present
Advisors Asset Management, Inc. February 2009 - April 2010
Van Kampen Investments July 2006 - January 2009
Van Kampen Investments January 2001 - June 2006
Zurich Advisors, LLC 1998 - 2000
Skills
Mutual Funds, Asset Management, Asset Allocation, Business Development, Finance, Financial Analysis, Investment Advisory, Public Speaking, Sales, Sales Management, Series 6, Series 63, Series 7, Time Management, Retirement Planning, Uniform Combined State...
Education
Southern Illinois University, Carbondale 1995 — 1998
BS, Exercise Physiology
University of Wisconsin-Whitewater 1992 — 1994
Business
Sun America Funds April 2010 - Present
Advisors Asset Management, Inc. February 2009 - April 2010
Van Kampen Investments July 2006 - January 2009
Van Kampen Investments January 2001 - June 2006
Zurich Advisors, LLC 1998 - 2000
Skills
Mutual Funds, Asset Management, Asset Allocation, Business Development, Finance, Financial Analysis, Investment Advisory, Public Speaking, Sales, Sales Management, Series 6, Series 63, Series 7, Time Management, Retirement Planning, Uniform Combined State...
Education
Southern Illinois University, Carbondale 1995 — 1998
BS, Exercise Physiology
University of Wisconsin-Whitewater 1992 — 1994
Business
Rick Palermo, MCSE's Advisors Asset Management, Inc. Experience January 2004 - Present
Job VP IT Infrastructure at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. January 2004 - Present
Education
Baylor University 1979 — 1982
Bachelor of Science (BS), Computer Science (CS), Magna Cum Laude (3.75)
Advisors Asset Management, Inc. January 2004 - Present
Education
Baylor University 1979 — 1982
Bachelor of Science (BS), Computer Science (CS), Magna Cum Laude (3.75)
Alma Hodzic's Advisors Asset Management, Inc. Experience August 2006 - September 2011
Job Select Underwriter at CIGNA Healthcare
Industry Investment Management
Experience
Community College of Denver August 2014 - Present
Arapahoe Community College January 2010 - Present
CIGNA Healthcare June 2011 - October 2014
Advisors Asset Management, Inc. August 2006 - September 2011
Skills
Securities, Access, Financial Analysis, Portfolio Management, Insurance, Fixed Income, Bloomberg, Investments, Strategic Financial..., Credit, Financial Advisory
Education
Colorado Technical University 2005 — 2007
MBA, Accounting
Colorado College 1999 — 2003
BA, Math
Community College of Denver August 2014 - Present
Arapahoe Community College January 2010 - Present
CIGNA Healthcare June 2011 - October 2014
Advisors Asset Management, Inc. August 2006 - September 2011
Skills
Securities, Access, Financial Analysis, Portfolio Management, Insurance, Fixed Income, Bloomberg, Investments, Strategic Financial..., Credit, Financial Advisory
Education
Colorado Technical University 2005 — 2007
MBA, Accounting
Colorado College 1999 — 2003
BA, Math
Arthur (Art) Sullivan's Advisors Asset Management, Inc. Experience December 2013 - Present
Job Regional Advisory Consultant at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. December 2013 - Present
Lincoln Financial Distributors September 2008 - October 2013
Smith Barney January 1996 - January 2007
Skills
Series 63, Series 7, Mutual Funds, Retirement Planning, Wealth Management, Fixed Annuities, Retirement, FINRA, Asset Allocation, Investments, Alternative Investments, Series 65
Education
Texas A&M University
Advisors Asset Management, Inc. December 2013 - Present
Lincoln Financial Distributors September 2008 - October 2013
Smith Barney January 1996 - January 2007
Skills
Series 63, Series 7, Mutual Funds, Retirement Planning, Wealth Management, Fixed Annuities, Retirement, FINRA, Asset Allocation, Investments, Alternative Investments, Series 65
Education
Texas A&M University
Philip Villaluz's Advisors Asset Management, Inc. Experience August 2009 - October 2010
Job Head of Municipal Research at Schroders
Industry Financial Services
Experience
Schroders July 2014 - Present
Broker Dealer October 2010 - May 2014
Advisors Asset Management, Inc. August 2009 - October 2010
Merrill Lynch April 2005 - August 2009
Merrill Lynch & Co. 2005 - 2009
Citigroup 2000 - 2005
Prudential Financial March 1993 - August 2000
Skills
Bonds, Fixed Income, Capital Markets, Securities, Series 7, Municipalities, Credit, Series 63, Credit Risk, Alternative Investments, Hedge Funds, Asset Management, Investments, Portfolio Management, Derivatives
Education
Rutgers, The State University of New Jersey-New Brunswick 1986 — 1991
Economics
Schroders July 2014 - Present
Broker Dealer October 2010 - May 2014
Advisors Asset Management, Inc. August 2009 - October 2010
Merrill Lynch April 2005 - August 2009
Merrill Lynch & Co. 2005 - 2009
Citigroup 2000 - 2005
Prudential Financial March 1993 - August 2000
Skills
Bonds, Fixed Income, Capital Markets, Securities, Series 7, Municipalities, Credit, Series 63, Credit Risk, Alternative Investments, Hedge Funds, Asset Management, Investments, Portfolio Management, Derivatives
Education
Rutgers, The State University of New Jersey-New Brunswick 1986 — 1991
Economics
Lynne Schendel's Advisors Asset Management, Inc. Experience February 2007 - Present
Job Production Editor San Diego State University
Industry Higher Education
Experience
San Diego State University September 2014 - Present
Advisors Asset Management January 2014 - Present
Advisors Asset Management, Inc. February 2007 - Present
Alliant International University November 1998 - November 2005
Antique & Collectables Newsmagazine July 1995 - November 1998
Grossmont-Cuyamaca Community College District July 1989 - May 1993
Media Concepts January 1986 - June 1988
Walter's & Graves January 1985 - January 1986
KSTP-TV January 1983 - January 1985
Skills
Editing, Marketing Communications, Marketing, Copy Editing, Copywriting, Publicity, Internal Communications, Creative Writing, Social Media, Press Releases, Public Speaking, Strategic Planning, Event Planning, Marketing Copy, Project Management, Blogging
Education
St. Cloud State University 1979 — 1983
Bachelors, Mass Communications
Woodbury Senior High 1974 — 1979
General
San Diego State University September 2014 - Present
Advisors Asset Management January 2014 - Present
Advisors Asset Management, Inc. February 2007 - Present
Alliant International University November 1998 - November 2005
Antique & Collectables Newsmagazine July 1995 - November 1998
Grossmont-Cuyamaca Community College District July 1989 - May 1993
Media Concepts January 1986 - June 1988
Walter's & Graves January 1985 - January 1986
KSTP-TV January 1983 - January 1985
Skills
Editing, Marketing Communications, Marketing, Copy Editing, Copywriting, Publicity, Internal Communications, Creative Writing, Social Media, Press Releases, Public Speaking, Strategic Planning, Event Planning, Marketing Copy, Project Management, Blogging
Education
St. Cloud State University 1979 — 1983
Bachelors, Mass Communications
Woodbury Senior High 1974 — 1979
General
Jonathan Law's Advisors Asset Management, Inc. Experience June 2009 - Present
Job Portfolio Manager at Advisors Asset Management, Inc
Industry Investment Management
Experience
Advisors Asset Management, Inc. June 2009 - Present
Pilot Advisors, LP June 2004 - December 2008
Moody's Investors Service December 2003 - June 2004
UBS June 2003 - December 2003
Skills
Fixed Income, Hedge Funds, Bloomberg, Bonds, Portfolio Management, Finance, Trading, Asset Allocation, Equities, Asset Managment, Separately Managed..., Series 7, Series 66, Series 24, Investments, Asset Management, Alternative Investments, Securities, Mutual Funds
Education
New York University 2000 — 2004
BA, Economics
Advisors Asset Management, Inc. June 2009 - Present
Pilot Advisors, LP June 2004 - December 2008
Moody's Investors Service December 2003 - June 2004
UBS June 2003 - December 2003
Skills
Fixed Income, Hedge Funds, Bloomberg, Bonds, Portfolio Management, Finance, Trading, Asset Allocation, Equities, Asset Managment, Separately Managed..., Series 7, Series 66, Series 24, Investments, Asset Management, Alternative Investments, Securities, Mutual Funds
Education
New York University 2000 — 2004
BA, Economics
Cory Easter's Advisors Asset Management, Inc. Experience July 2009 - Present
Job Vice President Asset Management Distribution at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. July 2009 - Present
Clearbrook Financial March 2005 - June 2009
Merrill Lynch July 2002 - March 2005
Chemical Bank December 1988 - December 1998
Skills
Asset Management..., Chief Investment Officer, Mutual Funds, Asset Management, Due Diligence, Investments, Alternative Investments, Portfolio Management, Derivatives, Series 7, Strategy, Hedge Funds, Asset Allocation, Chartered Alternative..., Product Management, Operational Due..., Product Development, Emerging Managers, Asset Management..., Asset Management..., Third Party Sales
Education
Denison University 1978 — 1983
BA, Economics, Film (Double Major)
Princeton High School 1973 — 1978
Advisors Asset Management, Inc. July 2009 - Present
Clearbrook Financial March 2005 - June 2009
Merrill Lynch July 2002 - March 2005
Chemical Bank December 1988 - December 1998
Skills
Asset Management..., Chief Investment Officer, Mutual Funds, Asset Management, Due Diligence, Investments, Alternative Investments, Portfolio Management, Derivatives, Series 7, Strategy, Hedge Funds, Asset Allocation, Chartered Alternative..., Product Management, Operational Due..., Product Development, Emerging Managers, Asset Management..., Asset Management..., Third Party Sales
Education
Denison University 1978 — 1983
BA, Economics, Film (Double Major)
Princeton High School 1973 — 1978
James L. Malchow, CFA's Advisors Asset Management, Inc. Experience August 2009 - March 2011
Job Vice President at SunTrust Robinson Humphrey
Industry Financial Services
Experience
SunTrust Robinson Humphrey August 2013 - Present
BB&T Capital Markets February 2011 - August 2013
Advisors Asset Management, Inc. August 2009 - March 2011
Western Asset Management 2005 - 2009
Citigroup/Salomon Smith Barney 2003 - 2005
Travelers Insurance 2002 - 2003
Managed Endowment Fund, University of Connecticut 2001 - 2002
Parsons Brinckerhoff 1996 - 2000
Skills
Series 7, Intex, Fixed Income, Bloomberg, Bonds, Capital Markets, Portfolio Management, Asset Managment, Trading, Securities, Series 63
Education
The University of Connecticut School of Business 2000 — 2002
M.B.A., Finance
Syracuse University 1992 — 1996
B.S., Civil Engineering
SunTrust Robinson Humphrey August 2013 - Present
BB&T Capital Markets February 2011 - August 2013
Advisors Asset Management, Inc. August 2009 - March 2011
Western Asset Management 2005 - 2009
Citigroup/Salomon Smith Barney 2003 - 2005
Travelers Insurance 2002 - 2003
Managed Endowment Fund, University of Connecticut 2001 - 2002
Parsons Brinckerhoff 1996 - 2000
Skills
Series 7, Intex, Fixed Income, Bloomberg, Bonds, Capital Markets, Portfolio Management, Asset Managment, Trading, Securities, Series 63
Education
The University of Connecticut School of Business 2000 — 2002
M.B.A., Finance
Syracuse University 1992 — 1996
B.S., Civil Engineering
Erin Nastasi's Advisors Asset Management, Inc. Experience May 2007 - Present
Job AVP SMA Operations at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. May 2007 - Present
Claymore Securities, Inc. May 2002 - May 2007
Nuveen Investments, Inc. September 1999 - May 2002
Education
Drexel University 1996 — 1999
Bachelor's Degree, Business Administration
Advisors Asset Management, Inc. May 2007 - Present
Claymore Securities, Inc. May 2002 - May 2007
Nuveen Investments, Inc. September 1999 - May 2002
Education
Drexel University 1996 — 1999
Bachelor's Degree, Business Administration
Scott Key's Advisors Asset Management, Inc. Experience July 2010 - Present
Job Vice President Asset Management Sales at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. July 2010 - Present
Skills
Investments, Series 7, Structured Products, Asset Allocation, Financial Services, Series 66, Separately Managed...
Education
Wichita State University 1998 — 2000
Bachelor, Economics
Regis University
MBA, Business Administration
Advisors Asset Management, Inc. July 2010 - Present
Skills
Investments, Series 7, Structured Products, Asset Allocation, Financial Services, Series 66, Separately Managed...
Education
Wichita State University 1998 — 2000
Bachelor, Economics
Regis University
MBA, Business Administration
Stacey Porterfield's Advisors Asset Management, Inc. Experience March 2015 - Present
Job Experienced Coordinator
Industry Financial Services
Experience
Advisors Asset Management, Inc. March 2015 - Present
Oklahoma Society of CPAs April 2013 - February 2014
Office of Management and Enterprise Services October 2011 - November 2012
Chesapeake Energy January 2011 - June 2011
Southern Nazarene University February 2007 - January 2011
Skills
Customer Service, Software Documentation, Event Management, Microsoft Office, Microsoft Excel, PowerPoint, Research, Accounting, Employee Relations, Outlook, Office Management, Event Planning, Nonprofits, Higher Education, Marketing, Office Administration, Microsoft Word
Education
Southern Nazarene University 2007 — 2009
Masters, Masters of Business Administration
Southern Nazarene University 2001 — 2006
Bachelor's degree, Christian Education
Advisors Asset Management, Inc. March 2015 - Present
Oklahoma Society of CPAs April 2013 - February 2014
Office of Management and Enterprise Services October 2011 - November 2012
Chesapeake Energy January 2011 - June 2011
Southern Nazarene University February 2007 - January 2011
Skills
Customer Service, Software Documentation, Event Management, Microsoft Office, Microsoft Excel, PowerPoint, Research, Accounting, Employee Relations, Outlook, Office Management, Event Planning, Nonprofits, Higher Education, Marketing, Office Administration, Microsoft Word
Education
Southern Nazarene University 2007 — 2009
Masters, Masters of Business Administration
Southern Nazarene University 2001 — 2006
Bachelor's degree, Christian Education
Harry Johnson's Advisors Asset Management, Inc. Experience December 2008 - Present
Job SVP Director, Wholesale Distribution at Advisors Asset Management, Inc.
Industry Investment Management
Experience
Advisors Asset Management, Inc. December 2008 - Present
Riversource Distributors, Inc. August 2007 - December 2008
Prudential Financial October 2006 - May 2007
Manulife Financial October 2004 - October 2006
AXA Distributors November 1997 - October 2004
Skills
Asset Allocation, Mutual Funds, Alternative Investments, Series 7, Fixed Annuities, Insurance, Fixed Income, Financial Services, Sales Operations, Investments, Retirement, Portfolio Management, Wealth Management, Estate Planning, Asset Management, Sales, Series 63, Investment Management, Financial Markets, ETFs, Financial Analysis, Financial Advisory, Investment Banking, Capital Markets, Derivatives, IRAs, Hedge Funds, Bloomberg, Asset Managment, Retirement Planning, Financial Modeling, Private Equity, Investment Advisory, Series 6, Uniform Combined State..., 401k, Wealth, Securities, Trading, FINRA, Series 65, Risk Management, Investment Strategies, Structured Products, Equities, Variable Annuities, Options, Due Diligence, Strategic Planning, Series 24
Education
St. Lawrence University 1981 — 1985
BA, Economics
Deerfield Academy 1979 — 1981
The Blake School 1968 — 1981
Advisors Asset Management, Inc. December 2008 - Present
Riversource Distributors, Inc. August 2007 - December 2008
Prudential Financial October 2006 - May 2007
Manulife Financial October 2004 - October 2006
AXA Distributors November 1997 - October 2004
Skills
Asset Allocation, Mutual Funds, Alternative Investments, Series 7, Fixed Annuities, Insurance, Fixed Income, Financial Services, Sales Operations, Investments, Retirement, Portfolio Management, Wealth Management, Estate Planning, Asset Management, Sales, Series 63, Investment Management, Financial Markets, ETFs, Financial Analysis, Financial Advisory, Investment Banking, Capital Markets, Derivatives, IRAs, Hedge Funds, Bloomberg, Asset Managment, Retirement Planning, Financial Modeling, Private Equity, Investment Advisory, Series 6, Uniform Combined State..., 401k, Wealth, Securities, Trading, FINRA, Series 65, Risk Management, Investment Strategies, Structured Products, Equities, Variable Annuities, Options, Due Diligence, Strategic Planning, Series 24
Education
St. Lawrence University 1981 — 1985
BA, Economics
Deerfield Academy 1979 — 1981
The Blake School 1968 — 1981
Katie Clarkin's Advisors Asset Management, Inc. Experience February 2015 - Present
Job Sales Associate at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. February 2015 - Present
Education
Michigan State University 2009 — 2013
Advisors Asset Management, Inc. February 2015 - Present
Education
Michigan State University 2009 — 2013
Brian K. Smith's Advisors Asset Management, Inc. Experience May 2006 - February 2008
Job Student at College of DuPage (post BA education)
Industry Financial Services
Experience
College of DuPage (post BA education) January 2015 - Present
Self Employed--Consultant June 2014 - January 2015
Caretaker June 2010 - September 2014
Madison Street Capital March 2012 - April 2012
Tower Hill Trading January 2012 - February 2012
MetLife February 2008 - August 2008
Advisors Asset Management, Inc. May 2006 - February 2008
Claymore Securities, Inc. April 2002 - March 2006
Nuveen Investments October 1998 - April 2002
A.G. Edwards and Sons, Inc January 1993 - January 1996
Skills
Securities, Portfolio Management, Fixed Income, Equities, Investments, Mutual Funds, Capital Markets, Investment Banking, Asset Management
Education
College of DuPage certifications--post BA 2015 — 2017
Certificates: Accounting, Management, Information Systems and MS Pro, Certifications
University of Illinois at Chicago 1995 — 1998
BA, Economics, 3.2/4.0
Villanova University 2010 — 2010
Certificate, Six Sigma Green Belt
College of DuPage 2013 — 2015
Certification, Certified Associate in Project Management (CAPM)
Glenbard West High School 1987 — 1991
Diploma, Mathematics
College of DuPage (post BA education) January 2015 - Present
Self Employed--Consultant June 2014 - January 2015
Caretaker June 2010 - September 2014
Madison Street Capital March 2012 - April 2012
Tower Hill Trading January 2012 - February 2012
MetLife February 2008 - August 2008
Advisors Asset Management, Inc. May 2006 - February 2008
Claymore Securities, Inc. April 2002 - March 2006
Nuveen Investments October 1998 - April 2002
A.G. Edwards and Sons, Inc January 1993 - January 1996
Skills
Securities, Portfolio Management, Fixed Income, Equities, Investments, Mutual Funds, Capital Markets, Investment Banking, Asset Management
Education
College of DuPage certifications--post BA 2015 — 2017
Certificates: Accounting, Management, Information Systems and MS Pro, Certifications
University of Illinois at Chicago 1995 — 1998
BA, Economics, 3.2/4.0
Villanova University 2010 — 2010
Certificate, Six Sigma Green Belt
College of DuPage 2013 — 2015
Certification, Certified Associate in Project Management (CAPM)
Glenbard West High School 1987 — 1991
Diploma, Mathematics
John Tuohy's Advisors Asset Management, Inc. Experience September 2001 - January 2015
Job Managing Director Capital Markets SWBC
Industry Capital Markets
Experience
SWBC Wealth Management February 2015 - Present
Advisors Asset Management, Inc. September 2001 - January 2015
Advisors Asset Management, Inc. February 2013 - August 2013
Advisors Asset Management, Inc. January 2010 - February 2013
Advisors Asset Management, Inc. May 2008 - December 2009
Advisors Asset Management, Inc. May 2007 - May 2008
Advisors Asset Management, Inc. October 2004 - December 2007
Advisors Asset Management, Inc. September 2001 - October 2004
Skills
Series 7, Series 63, Alternative Investments, Fixed Income, Securities, Asset Allocation, Asset Managment, Portfolio Management, Capital Markets, Trading, Bonds, Wealth Management, Series 24, Sales Management, Asset Management, Investment Strategies, Investments
Education
Providence College 1994 — 1998
BS, Business Management
Kent School 1992 — 1994
Baldwin HS 1991 — 1992
SWBC Wealth Management February 2015 - Present
Advisors Asset Management, Inc. September 2001 - January 2015
Advisors Asset Management, Inc. February 2013 - August 2013
Advisors Asset Management, Inc. January 2010 - February 2013
Advisors Asset Management, Inc. May 2008 - December 2009
Advisors Asset Management, Inc. May 2007 - May 2008
Advisors Asset Management, Inc. October 2004 - December 2007
Advisors Asset Management, Inc. September 2001 - October 2004
Skills
Series 7, Series 63, Alternative Investments, Fixed Income, Securities, Asset Allocation, Asset Managment, Portfolio Management, Capital Markets, Trading, Bonds, Wealth Management, Series 24, Sales Management, Asset Management, Investment Strategies, Investments
Education
Providence College 1994 — 1998
BS, Business Management
Kent School 1992 — 1994
Baldwin HS 1991 — 1992
Bob Clark's Advisors Asset Management, Inc. Experience January 2010 - July 2010
Job Eagle Group Finance, L.P.
Industry Financial Services
Experience
Eagle Group Finance, L.P. May 2015 - Present
PUSH Consulting, LLC May 2015 - Present
Bonwick Capital Partners July 2014 - February 2015
Empirasign Strategies, LLC January 2014 - June 2014
Daiwa Securities April 2012 - December 2013
Ally Financial Inc. September 2010 - April 2012
Advisors Asset Management, Inc. January 2010 - July 2010
Washington Mutual Broker Dealer July 2008 - July 2009
Nomura Securities January 2005 - June 2008
Prudential Securities January 1995 - June 2001
Skills
Asset Managment, Fixed Income, Bonds, Mutual Funds, Separately Managed..., Alternative Investments, Securities, Retirement Planning, Investment Advisory, Unit Investment Trusts, Series 24, ETFs, Wealth Management, Structured Products, Investments, Asset Allocation, Bloomberg, Asset Mgmt, Hedge Funds, Capital Markets, Asset Management
Education
Boston College - Carroll School of Management 1973 — 1977
Bachelor of Science (BS), Business/Commerce, General
Red Bank Regional High School
Eagle Group Finance, L.P. May 2015 - Present
PUSH Consulting, LLC May 2015 - Present
Bonwick Capital Partners July 2014 - February 2015
Empirasign Strategies, LLC January 2014 - June 2014
Daiwa Securities April 2012 - December 2013
Ally Financial Inc. September 2010 - April 2012
Advisors Asset Management, Inc. January 2010 - July 2010
Washington Mutual Broker Dealer July 2008 - July 2009
Nomura Securities January 2005 - June 2008
Prudential Securities January 1995 - June 2001
Skills
Asset Managment, Fixed Income, Bonds, Mutual Funds, Separately Managed..., Alternative Investments, Securities, Retirement Planning, Investment Advisory, Unit Investment Trusts, Series 24, ETFs, Wealth Management, Structured Products, Investments, Asset Allocation, Bloomberg, Asset Mgmt, Hedge Funds, Capital Markets, Asset Management
Education
Boston College - Carroll School of Management 1973 — 1977
Bachelor of Science (BS), Business/Commerce, General
Red Bank Regional High School
James Vera's Advisors Asset Management, Inc. Experience September 2008 - January 2014
Job at USAA Investment Management Company
Industry Financial Services
Experience
USAA January 2014 - Present
Advisors Asset Management, Inc. September 2008 - January 2014
Ameritas 2009 - 2012
Morgan Stanley August 2006 - August 2008
JPMorgan Chase 2004 - 2007
Skills
Series 7, Mutual Funds, Bonds, Alternative Investments, Fixed Income, Structured Products, Bloomberg, Financial Advisory, Series 63
Education
St. Mary's University 1987 — 1989
Business Management
USAA January 2014 - Present
Advisors Asset Management, Inc. September 2008 - January 2014
Ameritas 2009 - 2012
Morgan Stanley August 2006 - August 2008
JPMorgan Chase 2004 - 2007
Skills
Series 7, Mutual Funds, Bonds, Alternative Investments, Fixed Income, Structured Products, Bloomberg, Financial Advisory, Series 63
Education
St. Mary's University 1987 — 1989
Business Management
Leonard Reininger's Advisors Asset Management, Inc. Experience February 2014 - Present
Job Vice President of Credit Research at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. February 2014 - Present
American Express October 2010 - February 2014
US Federal Home Loan Bank (FHLB) October 2006 - May 2010
Church Street Capital, Inc September 2002 - October 2006
Dresdner RCM Global Investors March 1997 - September 2002
Fleet Financial Group October 1994 - October 1997
Prudential Investment Corporation October 1993 - October 1994
Moody's Investors Service January 1988 - January 1993
Skills
Credit Risk, Credit, Credit Analysis, Credit Cards, Risk Management, Financial Risk, Banking, Portfolio Management, Loans, Underwriting, Financial Analysis, Financial Services, Relationship Management, Financial Modeling, Commercial Banking, Finance, Retail Banking, Mortgage Lending, Corporate Finance, AML, Commercial Lending, Funding, Executive Management, Analysis, Operational Risk..., Strategic Financial..., Forecasting, Financial Structuring, Fixed Income, Capital Markets, Financial Statement..., Investments, Valuation, Securities, Internal Audit, Small Business Lending, Financial Institutions, Business Process..., Financial Advisory, Basel II, Asset Management, Treasury Management, Bonds, Cash Management, Economics, Mutual Funds, Wealth Management, Financial Markets, Management, Operational Risk
Education
New York University 1986 — 1988
Post Masters Diploma, Financial Management
Baruch College, City University of New York (CUNY) 1983 — 1985
MPA, Public Administration
Advisors Asset Management, Inc. February 2014 - Present
American Express October 2010 - February 2014
US Federal Home Loan Bank (FHLB) October 2006 - May 2010
Church Street Capital, Inc September 2002 - October 2006
Dresdner RCM Global Investors March 1997 - September 2002
Fleet Financial Group October 1994 - October 1997
Prudential Investment Corporation October 1993 - October 1994
Moody's Investors Service January 1988 - January 1993
Skills
Credit Risk, Credit, Credit Analysis, Credit Cards, Risk Management, Financial Risk, Banking, Portfolio Management, Loans, Underwriting, Financial Analysis, Financial Services, Relationship Management, Financial Modeling, Commercial Banking, Finance, Retail Banking, Mortgage Lending, Corporate Finance, AML, Commercial Lending, Funding, Executive Management, Analysis, Operational Risk..., Strategic Financial..., Forecasting, Financial Structuring, Fixed Income, Capital Markets, Financial Statement..., Investments, Valuation, Securities, Internal Audit, Small Business Lending, Financial Institutions, Business Process..., Financial Advisory, Basel II, Asset Management, Treasury Management, Bonds, Cash Management, Economics, Mutual Funds, Wealth Management, Financial Markets, Management, Operational Risk
Education
New York University 1986 — 1988
Post Masters Diploma, Financial Management
Baruch College, City University of New York (CUNY) 1983 — 1985
MPA, Public Administration
Michael Andry's Advisors Asset Management, Inc. Experience February 2002 - Present
Job Vice President, Regional Advisory Consultant at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. February 2002 - Present
Skills
Series 7, Series 63, Investments, Bonds, Securities, Alternative Investments, Asset Management, Mutual Funds, Fixed Income, Wealth Management
Education
Michigan State University 1992 — 1997
B.A., Finance
Advisors Asset Management, Inc. February 2002 - Present
Skills
Series 7, Series 63, Investments, Bonds, Securities, Alternative Investments, Asset Management, Mutual Funds, Fixed Income, Wealth Management
Education
Michigan State University 1992 — 1997
B.A., Finance
Kenneth Girdy's Advisors Asset Management, Inc. Experience November 2005 - Present
Job First Vice President Investments at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. November 2005 - Present
Morgan Stanley 1998 - 2001
Skills
Securities, Portfolio Management, Investments, Series 7, Asset Management, Fixed Income, Bonds, Investment Strategies, Series 63, Wealth Management, Alternative Investments, Mutual Funds, Asset Allocation, Financial Services, Trading
Education
University of Michigan - Stephen M. Ross School of Business 2001 — 2003
MBA, Finance
Georgetown University - The McDonough School of Business 1992 — 1996
BBA, Finance
Advisors Asset Management, Inc. November 2005 - Present
Morgan Stanley 1998 - 2001
Skills
Securities, Portfolio Management, Investments, Series 7, Asset Management, Fixed Income, Bonds, Investment Strategies, Series 63, Wealth Management, Alternative Investments, Mutual Funds, Asset Allocation, Financial Services, Trading
Education
University of Michigan - Stephen M. Ross School of Business 2001 — 2003
MBA, Finance
Georgetown University - The McDonough School of Business 1992 — 1996
BBA, Finance
Alfred M Dorsey Jr.'s Advisors Asset Management, Inc. Experience April 2003 - Present
Job First Vice President Investments at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. April 2003 - Present
USAA 2000 - 2003
Skills
Investments, Asset Allocation, Mutual Funds, Retirement Planning, Series 63, Series 7, Wealth Management, Securities, Bonds, Strategic Planning, Alternative Investments, Financial Advisory, Investment Advisory, Uniform Combined State..., Asset Management, Fixed Income, Investment Strategies
Education
St. Mary's University 1988 — 1990
MBA, Finance
United States Air Force Academy 1981 — 1985
BS, Behavioral Science
John F Kennedy High School
Advisors Asset Management, Inc. April 2003 - Present
USAA 2000 - 2003
Skills
Investments, Asset Allocation, Mutual Funds, Retirement Planning, Series 63, Series 7, Wealth Management, Securities, Bonds, Strategic Planning, Alternative Investments, Financial Advisory, Investment Advisory, Uniform Combined State..., Asset Management, Fixed Income, Investment Strategies
Education
St. Mary's University 1988 — 1990
MBA, Finance
United States Air Force Academy 1981 — 1985
BS, Behavioral Science
John F Kennedy High School
Robert Sainato, CFA, CFP, CIC, CAIA's Advisors Asset Management, Inc. Experience 2009 - 2011
Job Structured Products Predictive Model & Risk Product Manager at Bloomberg LP
Industry Financial Services
Experience
Bloomberg LP January 2012 - Present
Advisors Asset Management, Inc. 2009 - 2011
Broadpoint Capital 2007 - 2009
resource america 2005 - 2008
Trust Company of the West 2002 - 2004
Fidelity Investments 1997 - 2002
Education
William E. Simon School of Business 1993 — 1995
MBA, Finance
Hofstra University 1987 — 1991
BA, Economics
Hofstra University 1987 — 1991
BBA, Finance
Bloomberg LP January 2012 - Present
Advisors Asset Management, Inc. 2009 - 2011
Broadpoint Capital 2007 - 2009
resource america 2005 - 2008
Trust Company of the West 2002 - 2004
Fidelity Investments 1997 - 2002
Education
William E. Simon School of Business 1993 — 1995
MBA, Finance
Hofstra University 1987 — 1991
BA, Economics
Hofstra University 1987 — 1991
BBA, Finance
Jeff Lyman's Advisors Asset Management, Inc. Experience June 2010 - September 2010
Job Financial Analyst at EN Engineering
Industry Utilities
Experience
AEP Energy October 2012 - Present
AEP Energy January 2012 - October 2012
Army National Guard February 2003 - February 2012
Advisors Asset Management, Inc. June 2010 - September 2010
Skills
Financial Analysis, Microsoft Excel, Investments, Leadership, Process Improvement, Team Building, Team Leadership, Training, Military, Sales
Education
Southern Illinois University-2011
Bachelors of Science, Finance Management
Moraine Valley Community College
Associates of Science, Business
AEP Energy October 2012 - Present
AEP Energy January 2012 - October 2012
Army National Guard February 2003 - February 2012
Advisors Asset Management, Inc. June 2010 - September 2010
Skills
Financial Analysis, Microsoft Excel, Investments, Leadership, Process Improvement, Team Building, Team Leadership, Training, Military, Sales
Education
Southern Illinois University-2011
Bachelors of Science, Finance Management
Moraine Valley Community College
Associates of Science, Business
Lauri Stokes's Advisors Asset Management, Inc. Experience June 2014 - Present
Job Advisory Consultant at Advisors Asset Management, Inc.
Industry Investment Management
Experience
Advisors Asset Management, Inc. June 2014 - Present
Rainy Day Kids January 2006 - July 2015
Skills
Social Media, Entrepreneurship, Sales, Strategic Planning, Marketing Strategy, Marketing, Public Speaking, Team Building, Business Development, Sales Management, Customer Service, Investments
Education
Portland State University 1995 — 1998
Bachelor of Science, Psychology
Advisors Asset Management, Inc. June 2014 - Present
Rainy Day Kids January 2006 - July 2015
Skills
Social Media, Entrepreneurship, Sales, Strategic Planning, Marketing Strategy, Marketing, Public Speaking, Team Building, Business Development, Sales Management, Customer Service, Investments
Education
Portland State University 1995 — 1998
Bachelor of Science, Psychology
Iskra Marinov's Advisors Asset Management, Inc. Experience March 2012 - July 2013
Job Web Developer at Sumitomo Electric Interconnect Products, Inc.
Industry Electrical/Electronic Manufacturing
Experience
Sumitomo Electric Interconnect Products, Inc. July 2014 - Present
Advisors Asset Management, Inc. March 2012 - July 2013
3Plus Inc. October 2010 - March 2012
iBASEt March 2007 - September 2010
3Plus Inc. January 2001 - March 2007
HSP+ January 1993 - January 1999
Skills
Web Development, HTML 5, CSS3, JavaScript, jQuery, Visual Studio, ASP.NET, C#, Microsoft SQL Server, SQL, Database Design, XHTML, CSS, HTML5, User Experience, Web Applications, .NET, User Interface, Web Design
Education
Art Institute of California, San Diego 2000 — 2001
Certificate, Web Design & Multimedia
Technical University Sofia 1990 — 1995
B.S., Computer Science
Sumitomo Electric Interconnect Products, Inc. July 2014 - Present
Advisors Asset Management, Inc. March 2012 - July 2013
3Plus Inc. October 2010 - March 2012
iBASEt March 2007 - September 2010
3Plus Inc. January 2001 - March 2007
HSP+ January 1993 - January 1999
Skills
Web Development, HTML 5, CSS3, JavaScript, jQuery, Visual Studio, ASP.NET, C#, Microsoft SQL Server, SQL, Database Design, XHTML, CSS, HTML5, User Experience, Web Applications, .NET, User Interface, Web Design
Education
Art Institute of California, San Diego 2000 — 2001
Certificate, Web Design & Multimedia
Technical University Sofia 1990 — 1995
B.S., Computer Science
Trevor Cross's Advisors Asset Management, Inc. Experience March 2009 - Present
Job Regional Advisory Consultant at Advisors Asset Management, Inc.
Industry Financial Services
Experience
Advisors Asset Management, Inc. March 2009 - Present
Waddell & Reed October 2007 - February 2009
Skills
Alternative Investments, Investments, Financial Advisory, Mutual Funds, Series 63, Fixed Income, Securities, Finance, Wealth Management
Education
Texas A&M University-Corpus Christi 2002 — 2007
Bachelors, Finance
Richard King High School 1998 — 2002
Diploma, High School
Advisors Asset Management, Inc. March 2009 - Present
Waddell & Reed October 2007 - February 2009
Skills
Alternative Investments, Investments, Financial Advisory, Mutual Funds, Series 63, Fixed Income, Securities, Finance, Wealth Management
Education
Texas A&M University-Corpus Christi 2002 — 2007
Bachelors, Finance
Richard King High School 1998 — 2002
Diploma, High School
Brianna Yelle's Advisors Asset Management, Inc. Experience June 2008 - August 2008
Job Global Structuring Transfer Pricing Manager
Industry Accounting
Experience
PwC July 2010 - Present
BDO USA, LLP February 2009 - April 2010
Advisors Asset Management, Inc. June 2008 - August 2008
Education
DePaul University 2006 — 2010
B.S., Accounting, International Business
PwC July 2010 - Present
BDO USA, LLP February 2009 - April 2010
Advisors Asset Management, Inc. June 2008 - August 2008
Education
DePaul University 2006 — 2010
B.S., Accounting, International Business
Ryan Riffe's Advisors Asset Management, Inc. Experience March 2015 - July 2015
Job Fixed Income Trader at SWBC
Industry Financial Services
Experience
SWBC August 2015 - Present
Advisors Asset Management, Inc. March 2015 - July 2015
Advisors Asset Management, Inc. July 2014 - February 2015
Advisors Asset Management, Inc. January 2014 - June 2014
Advisors Asset Management, Inc. February 2013 - December 2013
Advisors Asset Management, Inc. February 2012 - January 2013
Skills
Customer Service, Customer Experience, Inventory Management, Business Analysis, Portfolio Management, Alternative Investments
Education
Connecticut College 2007 — 2011
Bachelors, Economics
Westminster School 2006 — 2007
Brooks School 2002 — 2006
SWBC August 2015 - Present
Advisors Asset Management, Inc. March 2015 - July 2015
Advisors Asset Management, Inc. July 2014 - February 2015
Advisors Asset Management, Inc. January 2014 - June 2014
Advisors Asset Management, Inc. February 2013 - December 2013
Advisors Asset Management, Inc. February 2012 - January 2013
Skills
Customer Service, Customer Experience, Inventory Management, Business Analysis, Portfolio Management, Alternative Investments
Education
Connecticut College 2007 — 2011
Bachelors, Economics
Westminster School 2006 — 2007
Brooks School 2002 — 2006
Addison Hanan's Advisors Asset Management, Inc. Experience May 2015 - Present
Job MD, National Sales Manager at Advisors Asset Management, Inc.
Industry Capital Markets
Experience
Advisors Asset Management, Inc. May 2015 - Present
FTN Financial October 2002 - Present
FTN Financial October 2002 - March 2013
Skills
Capital Markets, Equities, Series 7, Securities, Series 63, Hedge Funds, Trading, Bonds
Education
Boston University
Master of Business Administration (M.B.A.), Finance, General
Lake Forest College
Bachelor of Arts (B.A.), Economics
Advisors Asset Management, Inc. May 2015 - Present
FTN Financial October 2002 - Present
FTN Financial October 2002 - March 2013
Skills
Capital Markets, Equities, Series 7, Securities, Series 63, Hedge Funds, Trading, Bonds
Education
Boston University
Master of Business Administration (M.B.A.), Finance, General
Lake Forest College
Bachelor of Arts (B.A.), Economics
Esther Sexton's Advisors Asset Management, Inc. Experience February 2008 - July 2012
Job Office Manager at Ariel House Law Offices
Industry Financial Services
Experience
Ariel House April 2014 - Present
Advisors Asset Management, Inc. February 2008 - July 2012
Law Offices of the Ariel House February 2003 - February 2008
Skills
Switchboard, Switchboard Operator, Outlook, Microsoft Excel, Microsoft Office, Customer Service, Telephone Reception, Receptionist Duties, Microsoft Word, Copying, Editing, Sales, Event Planning, Training
Education
San Antonio College 1998 — 1999
Business Administration / Finance
Ariel House April 2014 - Present
Advisors Asset Management, Inc. February 2008 - July 2012
Law Offices of the Ariel House February 2003 - February 2008
Skills
Switchboard, Switchboard Operator, Outlook, Microsoft Excel, Microsoft Office, Customer Service, Telephone Reception, Receptionist Duties, Microsoft Word, Copying, Editing, Sales, Event Planning, Training
Education
San Antonio College 1998 — 1999
Business Administration / Finance
Fred Cannon's Advisors Asset Management, Inc. Experience February 2007 - January 2015
Job Cannon and Co. at Retired and enjoying time to pursue personal interests and family
Industry Financial Services
Experience
Retired and enjoying time to pursue personal interests and family January 2015 - Present
Advisors Asset Management, Inc. February 2007 - January 2015
Morgan Stanley Dean Witter Online 2000 - 2003
Montgomery Securities 1983 - 1998
Skills
Series 7, Series 9/10, Series 24, Series 63, Series 65, Fixed Income, Securities, Alternative Investments
Education
San Jose State University 1976 — 1978
Master of Business Administration (M.B.A.), Finance, General
Retired and enjoying time to pursue personal interests and family January 2015 - Present
Advisors Asset Management, Inc. February 2007 - January 2015
Morgan Stanley Dean Witter Online 2000 - 2003
Montgomery Securities 1983 - 1998
Skills
Series 7, Series 9/10, Series 24, Series 63, Series 65, Fixed Income, Securities, Alternative Investments
Education
San Jose State University 1976 — 1978
Master of Business Administration (M.B.A.), Finance, General
Sher Shah Tariq's Advisors Asset Management, Inc. Experience December 2012 - May 2013
Job Financial Control Analyst at Banca IMI
Industry Financial Services
Experience
Banca IMI December 2014 - Present
Financial Industry Regulatory Authority January 2014 - May 2014
Frenkel Lambert Weiss Weisman & Gordon July 2013 - January 2014
Advisors Asset Management, Inc. December 2012 - May 2013
Long Island Real Estate Group October 2012 - November 2012
Kaplan September 2010 - May 2011
Skills
Public Speaking, Microsoft Excel, Customer Service, Research, Finance, Data Entry, Networking, PowerPoint, Islamic Banking, Equity Valuation, Analysis
Education
Hofstra University 2010 — 2014
Bachelor of Business Administration (BBA), Finance
Banca IMI December 2014 - Present
Financial Industry Regulatory Authority January 2014 - May 2014
Frenkel Lambert Weiss Weisman & Gordon July 2013 - January 2014
Advisors Asset Management, Inc. December 2012 - May 2013
Long Island Real Estate Group October 2012 - November 2012
Kaplan September 2010 - May 2011
Skills
Public Speaking, Microsoft Excel, Customer Service, Research, Finance, Data Entry, Networking, PowerPoint, Islamic Banking, Equity Valuation, Analysis
Education
Hofstra University 2010 — 2014
Bachelor of Business Administration (BBA), Finance
Doug Richter's Advisors Asset Management, Inc. Experience February 2010 - May 2013
Job Regional Vice President at SmartTrust® Unit Investment Trusts
Industry Financial Services
Experience
SmartTrust® Unit Investment Trusts May 2013 - Present
Advisors Asset Management, Inc. February 2010 - May 2013
Claymore Securities (now Guggenheim Investments) February 2006 - February 2010
Skills
Series 63
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 2008 — 2011
Master of Business Administration (MBA), Investment Management
Hope College 1996 — 2000
Bachelor of Arts (B.A.), Business Administration/Economics
Hinsdale Central High School 1992 — 1996
SmartTrust® Unit Investment Trusts May 2013 - Present
Advisors Asset Management, Inc. February 2010 - May 2013
Claymore Securities (now Guggenheim Investments) February 2006 - February 2010
Skills
Series 63
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 2008 — 2011
Master of Business Administration (MBA), Investment Management
Hope College 1996 — 2000
Bachelor of Arts (B.A.), Business Administration/Economics
Hinsdale Central High School 1992 — 1996
Wells Fargo
Fidelity Investments
U.S. Bank
Northwestern Mutual
Wells Fargo Bank
USAA
Charles Schwab
Ameriprise Financial Services, Inc.