Banc of America Investment Services Inc
Industry: Company
DescriptionHeadquarters: Boston, MA Founded: 1986 Parent organization: Bank of America
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Banc of America Investment Services Inc Employees
Employee
Years
Job
Industry
Adam Udy Adam Udy's Banc of America Investment Services Inc Experience July 2002 - May 2006
Job MS, MBA, CFP®; Personal Financial Planning & Investment Management
Industry Financial Services
Experience
UDY Wealth Management January 2011 - Present
TriCor Financial LLC January 2011 - Present
UBS May 2006 - January 2011
Banc of America Investment Services, Inc. July 2002 - May 2006
Merrill Lynch January 2000 - July 2002
Skills
Series 7, Investments, Wealth Management, Retirement Planning, Portfolio Management, Asset Allocation, Strategic Financial..., Estate Planning, Series 63, Financial Advisory, Alternative Investments, Fixed Annuities, Retirement, Mutual Funds, Investment Advisory, Tax, Finance, Equities, IRAs, 401k, Wealth, Financial Services, Insurance, Life Insurance, Asset Management, Uniform Combined State..., Series 6, Wealth Management..., Investment Management, Securities, Investment Strategies, Small Business, High Net Worth..., Series 65, FINRA, Due Diligence, Series 24, Financial Planners, Fixed Income, ETFs, Personal Financial..., Financial Planning
Education
Texas A&M University-Commerce 2010 — 2011
M.B.A., Master of Business Administration
College for Financial Planning 2008 — 2010
MS-PFP, Personal Financial Planning
University of Phoenix 2005 — 2008
BS-Business, Finance
UDY Wealth Management January 2011 - Present
TriCor Financial LLC January 2011 - Present
UBS May 2006 - January 2011
Banc of America Investment Services, Inc. July 2002 - May 2006
Merrill Lynch January 2000 - July 2002
Skills
Series 7, Investments, Wealth Management, Retirement Planning, Portfolio Management, Asset Allocation, Strategic Financial..., Estate Planning, Series 63, Financial Advisory, Alternative Investments, Fixed Annuities, Retirement, Mutual Funds, Investment Advisory, Tax, Finance, Equities, IRAs, 401k, Wealth, Financial Services, Insurance, Life Insurance, Asset Management, Uniform Combined State..., Series 6, Wealth Management..., Investment Management, Securities, Investment Strategies, Small Business, High Net Worth..., Series 65, FINRA, Due Diligence, Series 24, Financial Planners, Fixed Income, ETFs, Personal Financial..., Financial Planning
Education
Texas A&M University-Commerce 2010 — 2011
M.B.A., Master of Business Administration
College for Financial Planning 2008 — 2010
MS-PFP, Personal Financial Planning
University of Phoenix 2005 — 2008
BS-Business, Finance
Jason Sadler, CRCM, CAMS Jason Sadler, CRCM, CAMS's Banc of America Investment Services Inc Experience August 2004 - March 2006
Job Governance and Oversight Officer, AVP at BMO Financial Group
Industry Financial Services
Experience
BMO Financial Group March 2015 - Present
BMO Financial Group September 2013 - March 2015
Bank of America April 2011 - September 2013
Wells Fargo May 2010 - April 2011
Bank of America March 2006 - May 2010
Banc of America Investment Services, Inc. August 2004 - March 2006
Banc of America Securities, LLC. August 2000 - August 2004
Banc of America Investment Services, Inc. March 1999 - August 2000
Bank of America November 1997 - March 1999
Boone County National Bank July 1995 - November 1997
Skills
Internal Audit, Relationship Management, Supervise Audits, Process Mapping, Risk Assessment, Test Planning, Statistical Sampling, Testing, Meeting Facilitation, Root Cause Analysis, Audit Reports, Audit Issue Remediation, AML, CAMS, Compliance, Risk Management, Regulations, Broker-Dealer, Securities, Series 7, Project Management, Series 63, Series 66, Training Delivery, KYC, Loans, Banking
Education
American Institute of Banking (AIB) 1994 — 1999
Branch Management Diploma, Banking
Columbia College
Bachelor of Science (B.S.), Business Administration, Finance and Management
BMO Financial Group March 2015 - Present
BMO Financial Group September 2013 - March 2015
Bank of America April 2011 - September 2013
Wells Fargo May 2010 - April 2011
Bank of America March 2006 - May 2010
Banc of America Investment Services, Inc. August 2004 - March 2006
Banc of America Securities, LLC. August 2000 - August 2004
Banc of America Investment Services, Inc. March 1999 - August 2000
Bank of America November 1997 - March 1999
Boone County National Bank July 1995 - November 1997
Skills
Internal Audit, Relationship Management, Supervise Audits, Process Mapping, Risk Assessment, Test Planning, Statistical Sampling, Testing, Meeting Facilitation, Root Cause Analysis, Audit Reports, Audit Issue Remediation, AML, CAMS, Compliance, Risk Management, Regulations, Broker-Dealer, Securities, Series 7, Project Management, Series 63, Series 66, Training Delivery, KYC, Loans, Banking
Education
American Institute of Banking (AIB) 1994 — 1999
Branch Management Diploma, Banking
Columbia College
Bachelor of Science (B.S.), Business Administration, Finance and Management
Octavia Jones Octavia Jones's Banc of America Investment Services Inc Experience August 2003 - July 2005
Job Senior Sales Specialist at Teva Neuroscience
Industry Pharmaceuticals
Experience
Teva Neuroscience March 2015 - Present
Quintiles/Janssen Pharmaceuticals January 2013 - March 2015
inVentiv Health/Actavis October 2011 - December 2012
Covidien/Mallinckrodt March 2010 - October 2011
Guardian Life Insurance July 2005 - August 2009
Banc of America Investment Services, Inc August 2003 - July 2005
Salomon Smith Barney January 2000 - July 2003
Evening Star Productions, Inc July 1997 - January 2000
The Harlem Globetrotters, Inc June 1996 - July 1997
Skills
Consultative Sales, B2B Marketing, Product Launch Expert, Sales, Marketing, Cold Calling, Workshop Facilitation, Customer Service, Insurance, Public Speaking, Networking, Advertising, Finance, Investments, Research, Pharmaceutical Sales, Selling Skills, Sales Presentations, Sales Effectiveness, Biotechnology, Pain Management, Product Launch, Rheumatology, Pharmaceutical Industry, Neurology, Management
Education
Arizona State University 1992 — 1996
B.S, Marketing
Teva Neuroscience March 2015 - Present
Quintiles/Janssen Pharmaceuticals January 2013 - March 2015
inVentiv Health/Actavis October 2011 - December 2012
Covidien/Mallinckrodt March 2010 - October 2011
Guardian Life Insurance July 2005 - August 2009
Banc of America Investment Services, Inc August 2003 - July 2005
Salomon Smith Barney January 2000 - July 2003
Evening Star Productions, Inc July 1997 - January 2000
The Harlem Globetrotters, Inc June 1996 - July 1997
Skills
Consultative Sales, B2B Marketing, Product Launch Expert, Sales, Marketing, Cold Calling, Workshop Facilitation, Customer Service, Insurance, Public Speaking, Networking, Advertising, Finance, Investments, Research, Pharmaceutical Sales, Selling Skills, Sales Presentations, Sales Effectiveness, Biotechnology, Pain Management, Product Launch, Rheumatology, Pharmaceutical Industry, Neurology, Management
Education
Arizona State University 1992 — 1996
B.S, Marketing
Bradley Pagliaro Bradley Pagliaro's Banc of America Investment Services Inc Experience June 2005 - November 2005
Job Analyst, Marketing Regulatory Review at LPL Financial
Industry Financial Services
Experience
LPL Financial August 2014 - Present
Raymond James Financial Inc. August 2012 - July 2014
Raymond James & Associates, Inc. October 2010 - August 2012
Florcon Corporation September 2008 - February 2010
TIAA-CREF March 2006 - September 2008
Banc of America Investment Services, Inc June 2005 - November 2005
Bank of America Private Bank June 2004 - June 2005
Charlotte Metro Federal Credit Union August 1998 - June 2004
Skills
Financial Services, Investments, Business Analysis, Training Delivery, Team Leadership, Employee Training, Business Development, Team Building, Strategic Financial..., Management, Leadership, FINRA, AML, Finance, Strategic Planning, Mutual Funds, Training, Marketing, Securities, Process Improvement, Compliance, Budgets, Portfolio Management, Risk Management, Credit, Banking, Business Process..., Trading, Loans, Data Analysis, Retirement Planning, Relationship Management, 401k, Wealth Management, Credit Unions, Options, Vendor Management, Strategic Communications, Internal Communications, Policy Writing, Procedure Development
Education
University of North Carolina at Charlotte - Belk College of Business 1997 — 2001
Bachelor of Science in Business Administration, Majors in Finance (Financial Management Concentration) and Marketing
LPL Financial August 2014 - Present
Raymond James Financial Inc. August 2012 - July 2014
Raymond James & Associates, Inc. October 2010 - August 2012
Florcon Corporation September 2008 - February 2010
TIAA-CREF March 2006 - September 2008
Banc of America Investment Services, Inc June 2005 - November 2005
Bank of America Private Bank June 2004 - June 2005
Charlotte Metro Federal Credit Union August 1998 - June 2004
Skills
Financial Services, Investments, Business Analysis, Training Delivery, Team Leadership, Employee Training, Business Development, Team Building, Strategic Financial..., Management, Leadership, FINRA, AML, Finance, Strategic Planning, Mutual Funds, Training, Marketing, Securities, Process Improvement, Compliance, Budgets, Portfolio Management, Risk Management, Credit, Banking, Business Process..., Trading, Loans, Data Analysis, Retirement Planning, Relationship Management, 401k, Wealth Management, Credit Unions, Options, Vendor Management, Strategic Communications, Internal Communications, Policy Writing, Procedure Development
Education
University of North Carolina at Charlotte - Belk College of Business 1997 — 2001
Bachelor of Science in Business Administration, Majors in Finance (Financial Management Concentration) and Marketing
Francesco Guarino Francesco Guarino's Banc of America Investment Services Inc Experience August 2003 - July 2005
Job Associate, Investment Research at Fund of Hedge Funds
Industry Financial Services
Experience
Fund of Hedge Funds April 2014 - Present
FirstBest Systems, Inc. April 2013 - April 2014
eFront June 2012 - April 2013
Thomson Reuters September 2007 - June 2012
Thomson Reuters January 2006 - September 2007
North Fork Financial Advisors, LLC July 2005 - January 2006
Banc of America Investment Services, Inc. August 2003 - July 2005
Skills
Salesforce.com, Pre-sales, Wealth Management, Software Implementation, Software Training, Software Sales, Siebel, Reuters, Bloomberg Terminal, Equity Trading, Series 7, Series 66, Training Delivery, Term Life Insurance, Fixed Annuities, Mutual Funds, Hedge Funds, Real Estate Private..., Real Estate, Fund Of Funds, SaaS, Sales Engineering, Enterprise Software, Enterprise Solution..., RFP, RFI, Proof of Concept, Hands-on Training, Equities, Trading Systems, Uniform Combined State..., Trading, Capital Markets, Manage Client..., Client Presentation, Client Training, Client Education, Family Office, Pension Funds, Life Insurance, Investment Management, Alternative Investments, Customer Advocacy, Analytics, Investments, Market Data, Business Analysis, Financial Services, Portfolio Management, CRM
Education
Rutgers Business School 2007 — 2011
Master of Business Administration (M.B.A.), Business Administration and Management, General
Rutgers, The State University of New Jersey-New Brunswick 2001 — 2004
B.S, Environmental & Business Economics
Rensselaer Polytechnic Institute 1999 — 2000
Montville Township High School 1995 — 1999
Fund of Hedge Funds April 2014 - Present
FirstBest Systems, Inc. April 2013 - April 2014
eFront June 2012 - April 2013
Thomson Reuters September 2007 - June 2012
Thomson Reuters January 2006 - September 2007
North Fork Financial Advisors, LLC July 2005 - January 2006
Banc of America Investment Services, Inc. August 2003 - July 2005
Skills
Salesforce.com, Pre-sales, Wealth Management, Software Implementation, Software Training, Software Sales, Siebel, Reuters, Bloomberg Terminal, Equity Trading, Series 7, Series 66, Training Delivery, Term Life Insurance, Fixed Annuities, Mutual Funds, Hedge Funds, Real Estate Private..., Real Estate, Fund Of Funds, SaaS, Sales Engineering, Enterprise Software, Enterprise Solution..., RFP, RFI, Proof of Concept, Hands-on Training, Equities, Trading Systems, Uniform Combined State..., Trading, Capital Markets, Manage Client..., Client Presentation, Client Training, Client Education, Family Office, Pension Funds, Life Insurance, Investment Management, Alternative Investments, Customer Advocacy, Analytics, Investments, Market Data, Business Analysis, Financial Services, Portfolio Management, CRM
Education
Rutgers Business School 2007 — 2011
Master of Business Administration (M.B.A.), Business Administration and Management, General
Rutgers, The State University of New Jersey-New Brunswick 2001 — 2004
B.S, Environmental & Business Economics
Rensselaer Polytechnic Institute 1999 — 2000
Montville Township High School 1995 — 1999
Cearull Jack Horgan Cearull Jack Horgan's Banc of America Investment Services Inc Experience August 2003 - January 2005
Job Client Relations Osterweis Capital Management
Industry Investment Management
Experience
Osterweis Capital Management March 2013 - Present
BlackRock November 2009 - March 2013
Bernstein Global Wealth Management January 2005 - October 2009
Banc of America Investment Services, Inc. August 2003 - January 2005
Skills
Portfolio Management, Financial Planning, Investments, Retirement Planning, Chartered Financial..., Asset Allocation, Strategic Financial..., Finance, High Net Worth...
Education
Santa Clara University 1999 — 2003
B.S., Combined Science (Chemistry, Biology), Political Science
Osterweis Capital Management March 2013 - Present
BlackRock November 2009 - March 2013
Bernstein Global Wealth Management January 2005 - October 2009
Banc of America Investment Services, Inc. August 2003 - January 2005
Skills
Portfolio Management, Financial Planning, Investments, Retirement Planning, Chartered Financial..., Asset Allocation, Strategic Financial..., Finance, High Net Worth...
Education
Santa Clara University 1999 — 2003
B.S., Combined Science (Chemistry, Biology), Political Science
Marcus Dover Marcus Dover's Banc of America Investment Services Inc Experience December 2002 - September 2005
Job Product Manager (Digital Messaging) MBA Intern at TMobile
Industry Financial Services
Experience
T-Mobile June 2015 - September 2015
Dolby Laboratories January 2015 - March 2015
Equal Opportunity Schools January 2015 - March 2015
BBAM LLC April 2012 - June 2014
Google (through BVOH) June 2011 - April 2012
Bank of the West (CV Partners) March 2011 - June 2011
Banc of America Securities LLC June 2010 - December 2010
Banc of America Securities, LLC October 2005 - June 2010
Banc of America Investment Services, Inc December 2002 - September 2005
THE HEARST CORPORATION August 2000 - December 2002
Skills
Accounting, Financial Reporting, Financial Analysis, Financial Audits, Financial Statements, Account Reconciliation, Analysis, Hyperion Enterprise, Finance, Internal Audit, Financial Accounting, General Ledger, GAAP, Sarbanes-Oxley Act, Financial Modeling, Internal Controls, SEC filings, US GAAP, Auditing, Cash Flow, Strategic Financial..., Financial Planning, Consumer Products, Marketing, Marketing Strategy, Market Research
Education
University of Washington, Michael G. Foster School of Business 2014 — 2016
Master of Business Administration (MBA)
University of North Carolina at Asheville 1996 — 2000
BS, Accounting
T-Mobile June 2015 - September 2015
Dolby Laboratories January 2015 - March 2015
Equal Opportunity Schools January 2015 - March 2015
BBAM LLC April 2012 - June 2014
Google (through BVOH) June 2011 - April 2012
Bank of the West (CV Partners) March 2011 - June 2011
Banc of America Securities LLC June 2010 - December 2010
Banc of America Securities, LLC October 2005 - June 2010
Banc of America Investment Services, Inc December 2002 - September 2005
THE HEARST CORPORATION August 2000 - December 2002
Skills
Accounting, Financial Reporting, Financial Analysis, Financial Audits, Financial Statements, Account Reconciliation, Analysis, Hyperion Enterprise, Finance, Internal Audit, Financial Accounting, General Ledger, GAAP, Sarbanes-Oxley Act, Financial Modeling, Internal Controls, SEC filings, US GAAP, Auditing, Cash Flow, Strategic Financial..., Financial Planning, Consumer Products, Marketing, Marketing Strategy, Market Research
Education
University of Washington, Michael G. Foster School of Business 2014 — 2016
Master of Business Administration (MBA)
University of North Carolina at Asheville 1996 — 2000
BS, Accounting
Aaron Nazarian Aaron Nazarian's Banc of America Investment Services Inc Experience July 2008 - March 2009
Job Retirement/Financial Services Consultant at TIAACREF
Industry Financial Services
Experience
TIAA-CREF December 2014 - Present
E*TRADE Financial August 2013 - October 2014
UBS Financial Services, Inc. December 2009 - August 2013
Bank of America Home Loans March 2009 - December 2009
Banc of America Investment Services, Inc. July 2008 - March 2009
E*TRADE Financial, (formerly HARRISdirect, LLC) October 2005 - July 2008
HARRISdirect, LLC, (formerly CSFBdirect, Inc., DLJdirect, Inc.) June 1999 - October 2005
Skills
Series 7, Series 63, Series 24, Series 4, Series 55, Series 53, Series 66
Education
Canisius College
Bachelor of Arts Degree, Spanish
TIAA-CREF December 2014 - Present
E*TRADE Financial August 2013 - October 2014
UBS Financial Services, Inc. December 2009 - August 2013
Bank of America Home Loans March 2009 - December 2009
Banc of America Investment Services, Inc. July 2008 - March 2009
E*TRADE Financial, (formerly HARRISdirect, LLC) October 2005 - July 2008
HARRISdirect, LLC, (formerly CSFBdirect, Inc., DLJdirect, Inc.) June 1999 - October 2005
Skills
Series 7, Series 63, Series 24, Series 4, Series 55, Series 53, Series 66
Education
Canisius College
Bachelor of Arts Degree, Spanish
Melissa Barnett Melissa Barnett's Banc of America Investment Services Inc Experience November 1999 - July 2002
Job Administrative Assistant 2 at Henderson Engineers, Inc
Industry Mechanical or Industrial Engineering
Experience
Henderson Engineers, Inc June 2015 - Present
Callison and Advisors August 2010 - May 2015
Banc of America Investment Services, Inc. November 1999 - July 2002
Knoll August 1997 - October 1999
Wyndham Hotel Group September 1996 - July 1997
Skills
Microsoft Office, Customer Service, Microsoft Excel, Management, Microsoft Word, PowerPoint, Strategic Planning, Sales, Marketing
Education
California State University, Fresno 1990 — 1995
Bachelor's degree, Liberal Arts and Sciences/Liberal Studies
Fresno High School 1987 — 1990
Henderson Engineers, Inc June 2015 - Present
Callison and Advisors August 2010 - May 2015
Banc of America Investment Services, Inc. November 1999 - July 2002
Knoll August 1997 - October 1999
Wyndham Hotel Group September 1996 - July 1997
Skills
Microsoft Office, Customer Service, Microsoft Excel, Management, Microsoft Word, PowerPoint, Strategic Planning, Sales, Marketing
Education
California State University, Fresno 1990 — 1995
Bachelor's degree, Liberal Arts and Sciences/Liberal Studies
Fresno High School 1987 — 1990
Westley A. Speer, CFP® Westley A. Speer, CFP®'s Banc of America Investment Services Inc Experience 2003 - 2006
Job Divisional Vice President at AIG Life and Retirement
Industry Insurance
Experience
AIG Life and Retirement September 2013 - Present
AIG Life and Retirement 2008 - August 2013
AIG Life and Retirement 2006 - 2008
Banc of America Investment Services, Inc 2003 - 2006
AXA Advisors, L.L.C. 2002 - 2003
American Express Financial Advisors, L.L.C. 1999 - 2002
Skills
Insurance, Strategic Partnerships, Relationship Management, Strategic Planning, Life Insurance, Sales Management, Bancassurance, Agency Development, Distribution Strategies, Product Development, Client Development, Business Development, Leadership Development, Marketing Strategy, Operating Budgets, Sales Operations, Product Launch, Competitive Analysis, Organic Growth, IFA Development, Fixed Annuities, Mutual Funds, Financial Planning, Financial Services, Investments, Retirement Planning, Wealth Management
Education
The University of Memphis
AIG Life and Retirement September 2013 - Present
AIG Life and Retirement 2008 - August 2013
AIG Life and Retirement 2006 - 2008
Banc of America Investment Services, Inc 2003 - 2006
AXA Advisors, L.L.C. 2002 - 2003
American Express Financial Advisors, L.L.C. 1999 - 2002
Skills
Insurance, Strategic Partnerships, Relationship Management, Strategic Planning, Life Insurance, Sales Management, Bancassurance, Agency Development, Distribution Strategies, Product Development, Client Development, Business Development, Leadership Development, Marketing Strategy, Operating Budgets, Sales Operations, Product Launch, Competitive Analysis, Organic Growth, IFA Development, Fixed Annuities, Mutual Funds, Financial Planning, Financial Services, Investments, Retirement Planning, Wealth Management
Education
The University of Memphis
Brittany Lawton Brittany Lawton's Banc of America Investment Services Inc Experience May 2006 - May 2008
Job Business Analyst at Fidelity Investments (NFS)
Industry Financial Services
Experience
Fidelity Investments April 2014 - Present
Fidelity Investments February 2011 - January 2013
Fidelity Investments January 2013 - May 2014
Archway Investment Fund January 2012 - May 2012
Bank of America, N.A. May 2010 - February 2011
Merrill Lynch / Banc of America Investment Services, Inc. May 2008 - May 2010
Banc of America Investment Services, Inc. May 2006 - May 2008
Skills
FBSI, IRIS, Streetscape, Merlin, Interact, Pierce, Pace, RPM, Boss, Coin, First, Account Express, WebSurvey, MS Office Suite, Factset, Tax Lot Accounting, Basis Pro, CCH Tax Research Network, Financial Forecasting, Investment Research, Financial Modeling
Education
Bryant University 2008 — 2013
BSBA, Finance, Legal Studies
Community College of Rhode Island
AS, Business Administration, Finance
Fidelity Investments April 2014 - Present
Fidelity Investments February 2011 - January 2013
Fidelity Investments January 2013 - May 2014
Archway Investment Fund January 2012 - May 2012
Bank of America, N.A. May 2010 - February 2011
Merrill Lynch / Banc of America Investment Services, Inc. May 2008 - May 2010
Banc of America Investment Services, Inc. May 2006 - May 2008
Skills
FBSI, IRIS, Streetscape, Merlin, Interact, Pierce, Pace, RPM, Boss, Coin, First, Account Express, WebSurvey, MS Office Suite, Factset, Tax Lot Accounting, Basis Pro, CCH Tax Research Network, Financial Forecasting, Investment Research, Financial Modeling
Education
Bryant University 2008 — 2013
BSBA, Finance, Legal Studies
Community College of Rhode Island
AS, Business Administration, Finance
Cynthia Clark, CFP®, J.D. Cynthia Clark, CFP®, J.D.'s Banc of America Investment Services Inc Experience April 2006 - November 2006
Job Estate Planning & Elder Law Attorney
Industry Law Practice
Experience
Law Offices of Cynthia M. Clark, PLLC January 2015 - Present
Dunlap & Moran, P.A. September 2014 - January 2015
Veterans Law Institute, Stetson University College of Law January 2013 - May 2013
Gulfcoast Legal Services, Inc June 2012 - August 2012
Internal Revenue Service January 2012 - April 2012
Merrill Lynch January 2009 - December 2010
Banc of America Investments November 2006 - January 2009
Banc of America Investment Services, Inc. April 2006 - November 2006
Banc of America Investment Services, Inc. April 2003 - April 2006
Raymond James Financial Services 2000 - 2003
Skills
Certified Financial...
Education
Stetson University College of Law 2011 — 2014
Juris Doctor, Cum Laude, Final Cumulative GPA: 3.515 Final Class Rank: 17/233
Old Dominion University - College of Business and Public Administration 1993 — 1995
Bachelor of Science in Business Administration, Accounting, Summa Cum Laude
Tidewater Community College 1991 — 1992
Associate of Science (A.S.), Business Administration and Management, General, Summa Cum Laude
Law Offices of Cynthia M. Clark, PLLC January 2015 - Present
Dunlap & Moran, P.A. September 2014 - January 2015
Veterans Law Institute, Stetson University College of Law January 2013 - May 2013
Gulfcoast Legal Services, Inc June 2012 - August 2012
Internal Revenue Service January 2012 - April 2012
Merrill Lynch January 2009 - December 2010
Banc of America Investments November 2006 - January 2009
Banc of America Investment Services, Inc. April 2006 - November 2006
Banc of America Investment Services, Inc. April 2003 - April 2006
Raymond James Financial Services 2000 - 2003
Skills
Certified Financial...
Education
Stetson University College of Law 2011 — 2014
Juris Doctor, Cum Laude, Final Cumulative GPA: 3.515 Final Class Rank: 17/233
Old Dominion University - College of Business and Public Administration 1993 — 1995
Bachelor of Science in Business Administration, Accounting, Summa Cum Laude
Tidewater Community College 1991 — 1992
Associate of Science (A.S.), Business Administration and Management, General, Summa Cum Laude
Beth Bauguess Beth Bauguess's Banc of America Investment Services Inc Experience 2001 - 2004
Job Operations at WestEnd Advisors
Industry Investment Banking
Experience
WestEnd Advisors March 2012 - Present
Bank of America Merrill Lynch February 2010 - March 2012
Banc of America Securities May 2009 - February 2010
Banc of America Securities July 2008 - May 2009
Bank of America March 2006 - July 2008
Banc of America Securities August 2005 - March 2006
Bank of America June 2004 - August 2005
Banc of America Investment Services Inc. 2001 - 2004
DLJdirect 1999 - 2001
First Union Brokerage Services 1998 - 1999
Skills
Options, Analysis, Portfolio Management, Investment Banking, Financial Risk, Asset Management, Mutual Funds, Investments, Trading, Finance, Equities, Securities, Fixed Income
Education
University of North Carolina at Chapel Hill
Bachelor of Arts (B.A.), Corporate Communication, Mathematics
WestEnd Advisors March 2012 - Present
Bank of America Merrill Lynch February 2010 - March 2012
Banc of America Securities May 2009 - February 2010
Banc of America Securities July 2008 - May 2009
Bank of America March 2006 - July 2008
Banc of America Securities August 2005 - March 2006
Bank of America June 2004 - August 2005
Banc of America Investment Services Inc. 2001 - 2004
DLJdirect 1999 - 2001
First Union Brokerage Services 1998 - 1999
Skills
Options, Analysis, Portfolio Management, Investment Banking, Financial Risk, Asset Management, Mutual Funds, Investments, Trading, Finance, Equities, Securities, Fixed Income
Education
University of North Carolina at Chapel Hill
Bachelor of Arts (B.A.), Corporate Communication, Mathematics
Michael J. Evanoff, CFP® Michael J. Evanoff, CFP®'s Banc of America Investment Services Inc Experience October 2004 - February 2009
Job Financial Advisor, Associate Vice President at Ameriprise Financial Services, Inc.
Industry Financial Services
Experience
Ameriprise Financial Services, Inc. February 2009 - Present
Banc of America Investment Services, Inc. October 2004 - February 2009
Quick & Reilly June 2001 - October 2004
Skills
Asset Management, Wealth, Mutual Funds, Financial Planners, Securities, Insurance, Financial Planning, Financial Advisory, Retirement Planning, Series 7, Portfolio Management, Wealth Management, Estate Planning, Series 63, Investments, Finance, Series 24
Education
University of Pittsburgh 1989 — 1993
Bachelor of Arts (B.A.), Business/Political Science, Accounting Certificate
Oglethorpe University
CFP® Certification education program
Ameriprise Financial Services, Inc. February 2009 - Present
Banc of America Investment Services, Inc. October 2004 - February 2009
Quick & Reilly June 2001 - October 2004
Skills
Asset Management, Wealth, Mutual Funds, Financial Planners, Securities, Insurance, Financial Planning, Financial Advisory, Retirement Planning, Series 7, Portfolio Management, Wealth Management, Estate Planning, Series 63, Investments, Finance, Series 24
Education
University of Pittsburgh 1989 — 1993
Bachelor of Arts (B.A.), Business/Political Science, Accounting Certificate
Oglethorpe University
CFP® Certification education program
Sandra V Perez Sandra V Perez's Banc of America Investment Services Inc Experience September 2007 - March 2009
Job AVP Financial Solutions Advisor
Industry Capital Markets
Experience
Merrill Edge January 2014 - Present
JPMorgan Chase Bank March 2011 - May 2012
Banc of America Investment Services, Inc September 2007 - March 2009
Banc of America Investment Services, Inc October 2005 - September 2007
Bank of America May 2004 - September 2005
Skills
Investments, Equities, Strategic Financial..., Series 7, Financial Services, Financial Advisory, Life Insurance, Fixed Annuities, Retirement, Cash Management, Investment Advisory, Investment Strategies, Uniform Combined State...
Education
Seton Hall University 2009 — 2010
MBA, Finance
Kean University 2003 — 2005
Bachelors degree, Finance
Merrill Edge January 2014 - Present
JPMorgan Chase Bank March 2011 - May 2012
Banc of America Investment Services, Inc September 2007 - March 2009
Banc of America Investment Services, Inc October 2005 - September 2007
Bank of America May 2004 - September 2005
Skills
Investments, Equities, Strategic Financial..., Series 7, Financial Services, Financial Advisory, Life Insurance, Fixed Annuities, Retirement, Cash Management, Investment Advisory, Investment Strategies, Uniform Combined State...
Education
Seton Hall University 2009 — 2010
MBA, Finance
Kean University 2003 — 2005
Bachelors degree, Finance
Jerry Slutzky, J.D., CFP® Jerry Slutzky, J.D., CFP®'s Banc of America Investment Services Inc Experience April 2005 - February 2009
Job President Tampa Bay Wealth Advisory Services
Industry Investment Management
Experience
Tampa Bay Wealth Advisory Services February 2009 - Present
Banc of America Investment Services, Inc. April 2005 - February 2009
UBS Wealth Management January 1996 - April 2005
Morgan Stanley Smith Barney October 1988 - January 1996
Jerrold E. Slutzky & Associates June 1977 - October 1988
Skills
Investments, Securities, Retirement, Business, Estate Planning, Insurance, Strategic Financial..., Tax, Small Business, Retirement Planning
Education
The John Marshall Law School 1974 — 1977
JD, Law
University of Illinois at Urbana-Champaign 1970 — 1974
Bs, Finance
Niles North High School 1967 — 1970
Tampa Bay Wealth Advisory Services February 2009 - Present
Banc of America Investment Services, Inc. April 2005 - February 2009
UBS Wealth Management January 1996 - April 2005
Morgan Stanley Smith Barney October 1988 - January 1996
Jerrold E. Slutzky & Associates June 1977 - October 1988
Skills
Investments, Securities, Retirement, Business, Estate Planning, Insurance, Strategic Financial..., Tax, Small Business, Retirement Planning
Education
The John Marshall Law School 1974 — 1977
JD, Law
University of Illinois at Urbana-Champaign 1970 — 1974
Bs, Finance
Niles North High School 1967 — 1970
Sean Gerbi Sean Gerbi's Banc of America Investment Services Inc Experience April 2004 - May 2008
Job Sales Operations Specialist at Blue Cross & Blue Shield of Rhode Island
Industry Financial Services
Experience
Blue Cross & Blue Shield of Rhode Island October 2013 - Present
MetLife May 2008 - October 2013
MetLife May 2008 - October 2013
Banc of America Investment Services, Inc April 2004 - May 2008
Banc of America Investment Services, Inc April 2004 - May 2008
Quick & Reilly August 2002 - April 2004
Fleet Bank May 2000 - August 2002
Skills
Management, Marketing Strategy, Technical Support, Sales, Strategic Financial..., Troubleshooting, Access, Microsoft Office, Strategy, Insurance, Project Management, Retirement Planning, Outlook, Leadership, Financial Services, Customer Service, Business Process, E-commerce, Microsoft Excel, System Administration, Employee Benefits, Adobe Acrobat, Operating Systems, Life Insurance
Education
Waynesburg University
Bachelor of Arts, Criminal Justice Administration
Providence College 1993 — 1995
Liberal Arts
Blue Cross & Blue Shield of Rhode Island October 2013 - Present
MetLife May 2008 - October 2013
MetLife May 2008 - October 2013
Banc of America Investment Services, Inc April 2004 - May 2008
Banc of America Investment Services, Inc April 2004 - May 2008
Quick & Reilly August 2002 - April 2004
Fleet Bank May 2000 - August 2002
Skills
Management, Marketing Strategy, Technical Support, Sales, Strategic Financial..., Troubleshooting, Access, Microsoft Office, Strategy, Insurance, Project Management, Retirement Planning, Outlook, Leadership, Financial Services, Customer Service, Business Process, E-commerce, Microsoft Excel, System Administration, Employee Benefits, Adobe Acrobat, Operating Systems, Life Insurance
Education
Waynesburg University
Bachelor of Arts, Criminal Justice Administration
Providence College 1993 — 1995
Liberal Arts
Christopher Hooker, CFA Christopher Hooker, CFA's Banc of America Investment Services Inc Experience November 2006 - April 2007
Job Implementation Consultant
Industry Investment Management
Experience
Envestnet Tamarac January 2015 - Present
Aon Hewitt April 2014 - January 2015
Wells Fargo November 2009 - June 2011
Wells Fargo April 2007 - November 2009
Banc of America Investment Services Inc November 2006 - April 2007
Skills
Bloomberg, Word, Excel, Factset, Critical Thinking, Crystal Ball, Siebel, Financial Modeling, Monte Carlo Simulation, Financial Software, Outlook, Access, Microsoft Office, Morningstar, Financial Analysis, Microsoft Excel, Quantitative Analytics, Forecasting, Investments, Financial Reporting, Asset Allocation, Series 7, Portfolio Management, Accounting Applications, Securities, Equities, Investment Management, Trading, Derivatives, Microsoft Word, Fixed Income
Education
Wake Forest University - Babcock Graduate School of Management 2007 — 2009
MBA, Finance
University of North Carolina at Chapel Hill 1994 — 2000
B.A
LSHS
Envestnet Tamarac January 2015 - Present
Aon Hewitt April 2014 - January 2015
Wells Fargo November 2009 - June 2011
Wells Fargo April 2007 - November 2009
Banc of America Investment Services Inc November 2006 - April 2007
Skills
Bloomberg, Word, Excel, Factset, Critical Thinking, Crystal Ball, Siebel, Financial Modeling, Monte Carlo Simulation, Financial Software, Outlook, Access, Microsoft Office, Morningstar, Financial Analysis, Microsoft Excel, Quantitative Analytics, Forecasting, Investments, Financial Reporting, Asset Allocation, Series 7, Portfolio Management, Accounting Applications, Securities, Equities, Investment Management, Trading, Derivatives, Microsoft Word, Fixed Income
Education
Wake Forest University - Babcock Graduate School of Management 2007 — 2009
MBA, Finance
University of North Carolina at Chapel Hill 1994 — 2000
B.A
LSHS
Mitchell Goldman Mitchell Goldman's Banc of America Investment Services Inc Experience 2000 - 2008
Job Financial Advisor with Ameriprise Financial Services, Inc. CA Insurance License #0H70903
Industry Financial Services
Experience
Ameriprise Financial Services, Inc. November 2008 - Present
Banc of America Investment Services, Inc. 2000 - 2008
Morgan Stanley 1988 - 2000
Education
City University of New York-Brooklyn College 1970 — 1973
BA, Political Science / Economics
Ameriprise Financial Services, Inc. November 2008 - Present
Banc of America Investment Services, Inc. 2000 - 2008
Morgan Stanley 1988 - 2000
Education
City University of New York-Brooklyn College 1970 — 1973
BA, Political Science / Economics
Phil Bandle Phil Bandle's Banc of America Investment Services Inc Experience August 2003 - March 2009
Job Vice President at Wintrust Wealth Management
Industry Financial Services
Experience
Wintrust Wealth Management March 2009 - Present
Banc of America Investment Services, Inc. August 2003 - March 2009
AG Edwards & Sons March 2000 - July 2003
Skills
Wealth Management, Investments, Portfolio Management, Series 7, Insurance, Retirement, Financial Advisory, Financial Services, 401k, Finance, Management, Asset Allocation
Education
Eastern Illinois University 1990 — 1994
Bachelor of Science
Wintrust Wealth Management March 2009 - Present
Banc of America Investment Services, Inc. August 2003 - March 2009
AG Edwards & Sons March 2000 - July 2003
Skills
Wealth Management, Investments, Portfolio Management, Series 7, Insurance, Retirement, Financial Advisory, Financial Services, 401k, Finance, Management, Asset Allocation
Education
Eastern Illinois University 1990 — 1994
Bachelor of Science
Dana Brandes Dana Brandes's Banc of America Investment Services Inc Experience September 2006 - December 2009
Job Morgan Stanley Wealth Management
Industry Financial Services
Experience
Morgan Stanley Wealth Management January 2013 - Present
Merrill Lynch February 2011 - January 2013
Merrill Lynch September 2006 - November 2010
BANC OF AMERICA INVESTMENT SERVICES, INC September 2006 - December 2009
PERSONAL ASSET STRATEGIES, INC April 2005 - August 2006
Smith Barney 2001 - 2005
Skills
Series 7, Series 63, Financial Services
Education
Hofstra University 1982 — 1986
B.B.A, Banking, Finance, and Investments
Morgan Stanley Wealth Management January 2013 - Present
Merrill Lynch February 2011 - January 2013
Merrill Lynch September 2006 - November 2010
BANC OF AMERICA INVESTMENT SERVICES, INC September 2006 - December 2009
PERSONAL ASSET STRATEGIES, INC April 2005 - August 2006
Smith Barney 2001 - 2005
Skills
Series 7, Series 63, Financial Services
Education
Hofstra University 1982 — 1986
B.B.A, Banking, Finance, and Investments
Brad Kaiser's Banc of America Investment Services Inc Experience January 1999 - March 2009
Job Business Development / Branch Manager at Achieva Credit Union
Industry Banking
Experience
Achieva Credit Union January 2014 - Present
Bank of America June 2012 - October 2013
C1 Bank January 2012 - June 2012
Priority Mortgage Corporation March 2009 - January 2012
Bank of America April 2006 - March 2009
Banc of America Investment Services, Inc January 1999 - March 2009
HomeFIXology August 2005 - March 2006
Bank of America January 1990 - August 2005
First Florida Bank - Calafornia Federal - NaitionsBank - Bank of America January 1990 - August 2005
Education
Central Michigan University
B.S Business Administration, Majors: Marketing and Management Minor: Psychology
Monroe County Community College
Associates of Science
Achieva Credit Union January 2014 - Present
Bank of America June 2012 - October 2013
C1 Bank January 2012 - June 2012
Priority Mortgage Corporation March 2009 - January 2012
Bank of America April 2006 - March 2009
Banc of America Investment Services, Inc January 1999 - March 2009
HomeFIXology August 2005 - March 2006
Bank of America January 1990 - August 2005
First Florida Bank - Calafornia Federal - NaitionsBank - Bank of America January 1990 - August 2005
Education
Central Michigan University
B.S Business Administration, Majors: Marketing and Management Minor: Psychology
Monroe County Community College
Associates of Science
Roger Moss's Banc of America Investment Services Inc Experience July 1991 - November 2008
Job Complex Director at Ameriprise Financial Services, Inc.
Industry Financial Services
Experience
Ameriprise Financial Services, Inc. December 2008 - Present
Banc of America Investment Services, Inc. July 1991 - November 2008
Quick & Reilly 1991 - 2001
Education
New York University - Leonard N. Stern School of Business 1993 — 1997
MBA, Finance / Management
Lehigh University 1986 — 1991
Bachelor's degree, Finance and Computer Science
Pascack Valley High School 1982 — 1986
Ameriprise Financial Services, Inc. December 2008 - Present
Banc of America Investment Services, Inc. July 1991 - November 2008
Quick & Reilly 1991 - 2001
Education
New York University - Leonard N. Stern School of Business 1993 — 1997
MBA, Finance / Management
Lehigh University 1986 — 1991
Bachelor's degree, Finance and Computer Science
Pascack Valley High School 1982 — 1986
Gordon Friedrich Gordon Friedrich's Banc of America Investment Services Inc Experience December 2003 - September 2006
Job Account Director at Thomson Reuters
Industry Financial Services
Experience
Thomson Reuters August 2014 - Present
Thomson Reuters November 2013 - Present
Thomson Reuters September 2011 - Present
Missouri Lawyers Media January 2010 - August 2011
Bank of America Merrill Lynch Wealth Management May 2009 - December 2009
Bank of America Investment Services, Inc July 2008 - March 2009
Kopila Children's Home (Orphanage) January 2008 - May 2008
Bank of America October 2006 - December 2007
Banc of America Investment Services, Inc December 2003 - September 2006
Americorps National Civilian Community Corps January 2003 - November 2003
Skills
Sales, Six Sigma, Strategic Partnerships, Leadership, Account Management, Management, Finance, Wealth Management, Salesforce.com, Sales Process, Equities, Strategy, Business Development, CRM, Strategic Planning
Education
Washington University in St. Louis 2013 — 2014
Master of Business Administration (MBA), Executive
Miami University 1998 — 2002
BA, Marketing
John Cabot University 2001 — 2001
International Business
St. Ignatius 1995 — 1998
Thomson Reuters August 2014 - Present
Thomson Reuters November 2013 - Present
Thomson Reuters September 2011 - Present
Missouri Lawyers Media January 2010 - August 2011
Bank of America Merrill Lynch Wealth Management May 2009 - December 2009
Bank of America Investment Services, Inc July 2008 - March 2009
Kopila Children's Home (Orphanage) January 2008 - May 2008
Bank of America October 2006 - December 2007
Banc of America Investment Services, Inc December 2003 - September 2006
Americorps National Civilian Community Corps January 2003 - November 2003
Skills
Sales, Six Sigma, Strategic Partnerships, Leadership, Account Management, Management, Finance, Wealth Management, Salesforce.com, Sales Process, Equities, Strategy, Business Development, CRM, Strategic Planning
Education
Washington University in St. Louis 2013 — 2014
Master of Business Administration (MBA), Executive
Miami University 1998 — 2002
BA, Marketing
John Cabot University 2001 — 2001
International Business
St. Ignatius 1995 — 1998
Kelly Von Ahn's Banc of America Investment Services Inc Experience June 2005 - October 2008
Job Vice President Financial Services Associate at Merrill Lynch
Industry Financial Services
Experience
Merrill Lynch April 2012 - Present
Merrill Lynch October 2008 - April 2012
Banc of America Investment Services, Inc. June 2005 - October 2008
Skills
Series 7, Series 66, Wealth Management, Financial Modeling, Financial Analysis, Customer Service, Asset Allocation
Education
Boston College 2001 — 2005
B.S., Finance, Marketing
Merrill Lynch April 2012 - Present
Merrill Lynch October 2008 - April 2012
Banc of America Investment Services, Inc. June 2005 - October 2008
Skills
Series 7, Series 66, Wealth Management, Financial Modeling, Financial Analysis, Customer Service, Asset Allocation
Education
Boston College 2001 — 2005
B.S., Finance, Marketing
Courtney Mickan Courtney Mickan's Banc of America Investment Services Inc Experience January 2000 - September 2002
Job Senior Registered Client Associate at RBC Wealth Management
Industry Investment Banking
Experience
RBC Wealth Management February 2014 - Present
Morgan Stanley Wealth Management August 2004 - February 2014
Whole Earth Provision Company January 2002 - July 2004
Banc of America Investment Services, Inc. January 2000 - September 2002
Van Kampen Investments January 1999 - January 2000
Skills
Hold Series 7, Series 63, Wealth Management, Financial Services, Investments, Sales, Finance, Financial Advisory, Strategic Financial..., Customer Service, FINRA, Financial Analysis, Asset Allocation, Insurance, Mutual Funds, Securities, Uniform Combined State..., Alternative Investments, Investment Strategies, Investment Advisory, Retirement Planning, Wealth Management..., Series 65, Fixed Income, 401k Rollovers
Education
Texas Tech University 1994 — 1998
Bachelor of Business Administration, International Business
RBC Wealth Management February 2014 - Present
Morgan Stanley Wealth Management August 2004 - February 2014
Whole Earth Provision Company January 2002 - July 2004
Banc of America Investment Services, Inc. January 2000 - September 2002
Van Kampen Investments January 1999 - January 2000
Skills
Hold Series 7, Series 63, Wealth Management, Financial Services, Investments, Sales, Finance, Financial Advisory, Strategic Financial..., Customer Service, FINRA, Financial Analysis, Asset Allocation, Insurance, Mutual Funds, Securities, Uniform Combined State..., Alternative Investments, Investment Strategies, Investment Advisory, Retirement Planning, Wealth Management..., Series 65, Fixed Income, 401k Rollovers
Education
Texas Tech University 1994 — 1998
Bachelor of Business Administration, International Business
Charles Northrup Charles Northrup's Banc of America Investment Services Inc Experience October 2004 - October 2009
Job Reg Senior Client Associate at Merrill Lynch
Industry Financial Services
Experience
Merrill Lynch October 2009 - Present
BANC OF AMERICA INVESTMENT SERVICES, INC October 2004 - October 2009
Quick & Reilly September 2000 - October 2004
Fleet Securities March 2001 - January 2002
BANKBOSTON INVESTOR SERVICES, INC. March 1997 - September 2000
BankBoston Insurance Agency January 1999 - August 2000
Boston 1784 Funds March 1997 - August 2000
BayBank, NA August 1995 - March 1997
Skills
Vendor Management, Credit, Risk Management, Business Analysis, Call Centers, Loans, Securities, Retail Banking, Asset Management, Mortgage Lending, Finance, Leadership, Series 63, Investment Banking, Wealth Management, Financial Risk, Project Management, Credit Analysis, Microsoft Excel, Derivatives, Banking
Education
Salem State University
Bachelor of Science (BS), Business Administration and Management, General
New England College of Business and Finance
Malden Catholic
Merrill Lynch October 2009 - Present
BANC OF AMERICA INVESTMENT SERVICES, INC October 2004 - October 2009
Quick & Reilly September 2000 - October 2004
Fleet Securities March 2001 - January 2002
BANKBOSTON INVESTOR SERVICES, INC. March 1997 - September 2000
BankBoston Insurance Agency January 1999 - August 2000
Boston 1784 Funds March 1997 - August 2000
BayBank, NA August 1995 - March 1997
Skills
Vendor Management, Credit, Risk Management, Business Analysis, Call Centers, Loans, Securities, Retail Banking, Asset Management, Mortgage Lending, Finance, Leadership, Series 63, Investment Banking, Wealth Management, Financial Risk, Project Management, Credit Analysis, Microsoft Excel, Derivatives, Banking
Education
Salem State University
Bachelor of Science (BS), Business Administration and Management, General
New England College of Business and Finance
Malden Catholic
Marvin McManus Marvin McManus's Banc of America Investment Services Inc Experience December 2006 - August 2007
Job HR Customer Service Rep at Manpower
Industry Banking
Experience
Wells Fargo July 2015 - Present
Manpower September 2014 - April 2015
Ruby Tuesday August 2013 - August 2014
NCO Financial Systems January 2011 - September 2011
NCO Financial Systems, Inc January 2011 - September 2011
Bank of America, Inc; Treasury Services August 2007 - September 2008
Bank of America April 2005 - September 2008
Banc of America Investment Services, Inc December 2006 - August 2007
Bank of America, Inc April 2005 - December 2006
Ford Motor Credit, Inc February 2004 - March 2005
Skills
Retail Banking, Microsoft Office, Time Management, Portfolio Management, Microsoft Excel, Credit, Budgets, Access, Process Improvement, Sales, Insurance, Customer Satisfaction, Leadership, Marketing
Education
Southern New Hampshire University 2014 — 2017
Master of Business Administration (M.B.A.), Internet Marketing
UNIVERSITY OF SOUTH CAROLINA 1991 — 1996
Bachelor of Science, Administrative Information Management
Central High School 1987 — 1991
Wells Fargo July 2015 - Present
Manpower September 2014 - April 2015
Ruby Tuesday August 2013 - August 2014
NCO Financial Systems January 2011 - September 2011
NCO Financial Systems, Inc January 2011 - September 2011
Bank of America, Inc; Treasury Services August 2007 - September 2008
Bank of America April 2005 - September 2008
Banc of America Investment Services, Inc December 2006 - August 2007
Bank of America, Inc April 2005 - December 2006
Ford Motor Credit, Inc February 2004 - March 2005
Skills
Retail Banking, Microsoft Office, Time Management, Portfolio Management, Microsoft Excel, Credit, Budgets, Access, Process Improvement, Sales, Insurance, Customer Satisfaction, Leadership, Marketing
Education
Southern New Hampshire University 2014 — 2017
Master of Business Administration (M.B.A.), Internet Marketing
UNIVERSITY OF SOUTH CAROLINA 1991 — 1996
Bachelor of Science, Administrative Information Management
Central High School 1987 — 1991
Kristin Zehnder Kristin Zehnder's Banc of America Investment Services Inc Experience May 2003 - June 2010
Job Compliance Specialist at Merril Lynch
Industry Financial Services
Experience
Bank of America Merrill Lynch June 2010 - Present
Banc of America Investment Services, Inc May 2003 - June 2010
London Pacific Advisors November 1999 - June 2003
Prudential Securities June 1998 - November 1999
Wells Fargo September 1992 - June 1998
Skills
Securities, Series 7, Operations Management, Risk Management, Series 63, Wealth Management, Investments, Asset Allocation, Banking, Asset Management, Equities
Education
University of California, Los Angeles 1982 — 1985
Bank of America Merrill Lynch June 2010 - Present
Banc of America Investment Services, Inc May 2003 - June 2010
London Pacific Advisors November 1999 - June 2003
Prudential Securities June 1998 - November 1999
Wells Fargo September 1992 - June 1998
Skills
Securities, Series 7, Operations Management, Risk Management, Series 63, Wealth Management, Investments, Asset Allocation, Banking, Asset Management, Equities
Education
University of California, Los Angeles 1982 — 1985
Bert Pearsall Bert Pearsall's Banc of America Investment Services Inc Experience June 1998 - November 2005
Job Senior Vice President & BB&T Wealth Regional Director Central Florida
Industry Financial Services
Experience
BB&T May 2013 - Present
GlobalMacro Capital Management, LLC July 2012 - May 2013
Bank of America Merrill Lynch November 2005 - June 2012
Banc of America Investment Services, Inc June 1998 - November 2005
Barnett Asset Management Group February 1997 - May 1998
Barnett Annuities Corporation November 1994 - February 1997
Barnett Investment Services, Inc November 1994 - February 1997
The Graduate School of Banking at Louisiana State University July 1993 - November 1994
Barnett Investment Services, Inc July 1993 - November 1994
Barnett Bank of Central Florida August 1989 - July 1993
Skills
Banking, Retail Banking, Credit, Loans, Commercial Banking, Credit Analysis, Cross Selling, Commercial Lending, Branch Banking, Consumer Lending, Credit Risk, Mortgage Lending, Series 7, Insurance, Strategy, Wealth Management, Portfolio Management, Risk Management, Finance, Series 63, Financial Services, Mutual Funds, Alternative Investments, Investments, Strategic Financial..., Securities, Investment Banking, Financial Risk, Asset Management, Bonds, Investment Strategies, Investment Management, Executive Management, Private Banking, Financial Advisory, Relationship Management, Investment Advisory, FINRA, Treasury Management, Fixed Income, Small Business Lending, Asset Allocation, Capital Markets, Equities, Loan Origination, Financial Planning
Education
Six Sigma 2006 — 2007
Sales Green Belt Certification, Fee Based Sales Impact on Revenue and Client Asset Growth
University of Florida 1981 — 1983
Florida School of Banking, Executive Bank Management
American Institute of Banking 1980 — 1980
Certification, Commerical Banking
University of Central Florida 1973 — 1977
Bachelors of Science, Business Administration and Marketing
BB&T May 2013 - Present
GlobalMacro Capital Management, LLC July 2012 - May 2013
Bank of America Merrill Lynch November 2005 - June 2012
Banc of America Investment Services, Inc June 1998 - November 2005
Barnett Asset Management Group February 1997 - May 1998
Barnett Annuities Corporation November 1994 - February 1997
Barnett Investment Services, Inc November 1994 - February 1997
The Graduate School of Banking at Louisiana State University July 1993 - November 1994
Barnett Investment Services, Inc July 1993 - November 1994
Barnett Bank of Central Florida August 1989 - July 1993
Skills
Banking, Retail Banking, Credit, Loans, Commercial Banking, Credit Analysis, Cross Selling, Commercial Lending, Branch Banking, Consumer Lending, Credit Risk, Mortgage Lending, Series 7, Insurance, Strategy, Wealth Management, Portfolio Management, Risk Management, Finance, Series 63, Financial Services, Mutual Funds, Alternative Investments, Investments, Strategic Financial..., Securities, Investment Banking, Financial Risk, Asset Management, Bonds, Investment Strategies, Investment Management, Executive Management, Private Banking, Financial Advisory, Relationship Management, Investment Advisory, FINRA, Treasury Management, Fixed Income, Small Business Lending, Asset Allocation, Capital Markets, Equities, Loan Origination, Financial Planning
Education
Six Sigma 2006 — 2007
Sales Green Belt Certification, Fee Based Sales Impact on Revenue and Client Asset Growth
University of Florida 1981 — 1983
Florida School of Banking, Executive Bank Management
American Institute of Banking 1980 — 1980
Certification, Commerical Banking
University of Central Florida 1973 — 1977
Bachelors of Science, Business Administration and Marketing
Carla Reynolds Carla Reynolds's Banc of America Investment Services Inc Experience October 2008 - August 2010
Job Administrative Manager at Merrill Lynch
Industry Financial Services
Experience
Merrill Lynch January 2015 - Present
Merrill Lynch June 2012 - January 2015
Merrill Lynch August 2010 - June 2012
Banc of America Investment Services, Inc October 2008 - August 2010
Banc of America Investment Services, Inc June 2006 - September 2008
Skills
Series 7, Series 66, Series 24, Series 3, Series 4, Series 53, Licensed Life Insurance...
Education
Pepperdine University 2007 — 2010
Doctor of Education (Ed.D.), Organizational Leadership
California State University-Fullerton 2005 — 2007
Master of Business Administration (M.B.A.), Business Administration and Management, General
California State University-Fullerton 2001 — 2005
Bachelor of Arts (B.A.), International Business
Merrill Lynch January 2015 - Present
Merrill Lynch June 2012 - January 2015
Merrill Lynch August 2010 - June 2012
Banc of America Investment Services, Inc October 2008 - August 2010
Banc of America Investment Services, Inc June 2006 - September 2008
Skills
Series 7, Series 66, Series 24, Series 3, Series 4, Series 53, Licensed Life Insurance...
Education
Pepperdine University 2007 — 2010
Doctor of Education (Ed.D.), Organizational Leadership
California State University-Fullerton 2005 — 2007
Master of Business Administration (M.B.A.), Business Administration and Management, General
California State University-Fullerton 2001 — 2005
Bachelor of Arts (B.A.), International Business
Lenore Loveless Lenore Loveless's Banc of America Investment Services Inc Experience August 2005 - June 2006
Job Principal at Riperian Inc.
Industry Banking
Experience
Riperian,Inc 2011 - Present
Bank of America March 2007 - September 2011
Bank of America March 2006 - March 2007
Banc of America Investment Services Inc August 2005 - June 2006
Quick & Reilly, Inc January 1998 - August 2005
Skills
Call Center, Customer Service, Series 24, Series 7, Series 63, FINRA, Fixed Income, Wealth Management, Securities, Banking, Portfolio Management, Mutual Funds, Call Centers, Equities, Process Improvement, Relationship Management, Investments, Management, AML, Trading, Private Banking, Back Office, Recruiting, Retirement, Customer Retention, Financial Services, Investment Management, Sales, Capital Markets, Hedge Funds, Loans, Asset Management, Bloomberg, Investment Strategies, Risk Management, Asset Allocation, Mortgage Lending, Retirement Planning, Derivatives, Finance, Operational Risk..., Alternative Investments, Options, Retail Banking, Credit, Insurance, Strategic Financial..., Financial Risk, Financial Advisory, Financial Markets
Education
University at Buffalo
B.A, Economics; Business
University at Buffalo
Bachelor's degree, Economics
Riperian,Inc 2011 - Present
Bank of America March 2007 - September 2011
Bank of America March 2006 - March 2007
Banc of America Investment Services Inc August 2005 - June 2006
Quick & Reilly, Inc January 1998 - August 2005
Skills
Call Center, Customer Service, Series 24, Series 7, Series 63, FINRA, Fixed Income, Wealth Management, Securities, Banking, Portfolio Management, Mutual Funds, Call Centers, Equities, Process Improvement, Relationship Management, Investments, Management, AML, Trading, Private Banking, Back Office, Recruiting, Retirement, Customer Retention, Financial Services, Investment Management, Sales, Capital Markets, Hedge Funds, Loans, Asset Management, Bloomberg, Investment Strategies, Risk Management, Asset Allocation, Mortgage Lending, Retirement Planning, Derivatives, Finance, Operational Risk..., Alternative Investments, Options, Retail Banking, Credit, Insurance, Strategic Financial..., Financial Risk, Financial Advisory, Financial Markets
Education
University at Buffalo
B.A, Economics; Business
University at Buffalo
Bachelor's degree, Economics
Darrell Brooks Darrell Brooks's Banc of America Investment Services Inc Experience 2003 - 2009
Job Branch Manager at Raymond James Financial Services, Inc., Member FINRA/SIPC
Industry Financial Services
Experience
Raymond James Financial Services, Inc., Member FINRA/SIPC May 2009 - Present
Banc of America Investment Services, Inc. 2003 - 2009
Wells Fargo Investments 2001 - 2003
Banc of America Investments 1993 - 2001
Skills
Investments, Series 7, Wealth Management, Strategic Financial..., Financial Advisory, Finance
Education
Texas State University-San Marcos
B.B.A., Finance
Raymond James Financial Services, Inc., Member FINRA/SIPC May 2009 - Present
Banc of America Investment Services, Inc. 2003 - 2009
Wells Fargo Investments 2001 - 2003
Banc of America Investments 1993 - 2001
Skills
Investments, Series 7, Wealth Management, Strategic Financial..., Financial Advisory, Finance
Education
Texas State University-San Marcos
B.B.A., Finance
Mary Howe's Banc of America Investment Services Inc Experience March 1994 - August 2001
Job Business Manager lll at AAA Northern California Nevada Utah
Industry Insurance
Experience
AAA Northern California, Nevada & Utah October 2012 - Present
The Training Associates March 2012 - August 2012
Cornerstone Fellowship April 2005 - January 2011
Articulate Technologies, Inc. April 2010 - September 2010
Mr. Copy/ A Xerox Company September 2009 - March 2010
Bank of America July 2007 - December 2009
People's Choice Home Loan 2004 - 2007
Banc of America Investment Services Inc. March 1994 - August 2001
Skills
Training & Development, Test Development,..., Identify Gaps, Assign..., Change Management, Content Development, Business Relationship..., Project Implementation, Driving Results, Project Planning, Recruitment/Retention, Strategy Development, Transition Management, Presenter, New Hire Training, Complaint Management, Public Relations, Field Support, Sales Process, Team Building, Productivity Improvement, Project Execution, Account Management, Customer Service, Customer relationship..., Sales training, Inside Sales, Mortgage Lending, Treasury Management, Client Fulfillment, Toastmasters, Six Sigma, Training Coordination, Team Coordination, Volunteer Management, Volunteer Coordination, FINRA Series 6, FINRA, Client Retention, Client Relationship..., Salesforce.com, Workday, Training, CRM, Project Management, Employee Training, Program Management, Strategy, Talent Management, Coaching, Human Resources
Education
Stanford University 2015 — 2017
Advanced Project Management, Center for Professional Development
Skyline College
AAA Northern California, Nevada & Utah October 2012 - Present
The Training Associates March 2012 - August 2012
Cornerstone Fellowship April 2005 - January 2011
Articulate Technologies, Inc. April 2010 - September 2010
Mr. Copy/ A Xerox Company September 2009 - March 2010
Bank of America July 2007 - December 2009
People's Choice Home Loan 2004 - 2007
Banc of America Investment Services Inc. March 1994 - August 2001
Skills
Training & Development, Test Development,..., Identify Gaps, Assign..., Change Management, Content Development, Business Relationship..., Project Implementation, Driving Results, Project Planning, Recruitment/Retention, Strategy Development, Transition Management, Presenter, New Hire Training, Complaint Management, Public Relations, Field Support, Sales Process, Team Building, Productivity Improvement, Project Execution, Account Management, Customer Service, Customer relationship..., Sales training, Inside Sales, Mortgage Lending, Treasury Management, Client Fulfillment, Toastmasters, Six Sigma, Training Coordination, Team Coordination, Volunteer Management, Volunteer Coordination, FINRA Series 6, FINRA, Client Retention, Client Relationship..., Salesforce.com, Workday, Training, CRM, Project Management, Employee Training, Program Management, Strategy, Talent Management, Coaching, Human Resources
Education
Stanford University 2015 — 2017
Advanced Project Management, Center for Professional Development
Skyline College
Carla Brice (Talley) Carla Brice (Talley)'s Banc of America Investment Services Inc Experience June 1996 - June 1999
Job Worldwide Manager, Business Partner Business Controls at IBM
Industry Information Technology and Services
Experience
IBM May 2014 - Present
IBM August 2012 - Present
IBM January 2010 - August 2012
IBM January 2006 - January 2010
Banc of America Investment Services, Inc. June 1996 - June 1999
Skills
Financial Modeling, Risk Assessment, Project Coordination, Risk Management, Financial Analysis, Enterprise Risk..., Managerial Finance, Internal Audit, Internal Controls, Auditing, Forecasting, Corporate Finance, Financial Reporting, Finance, SAP, Management, Analysis, Strategy
Education
Indiana University Bloomington 1999 — 2001
MBA, Finance
Howard University 1992 — 1996
BBA, International Business
IBM May 2014 - Present
IBM August 2012 - Present
IBM January 2010 - August 2012
IBM January 2006 - January 2010
Banc of America Investment Services, Inc. June 1996 - June 1999
Skills
Financial Modeling, Risk Assessment, Project Coordination, Risk Management, Financial Analysis, Enterprise Risk..., Managerial Finance, Internal Audit, Internal Controls, Auditing, Forecasting, Corporate Finance, Financial Reporting, Finance, SAP, Management, Analysis, Strategy
Education
Indiana University Bloomington 1999 — 2001
MBA, Finance
Howard University 1992 — 1996
BBA, International Business
Georgette Duleba-Mace Georgette Duleba-Mace's Banc of America Investment Services Inc Experience September 1992 - March 2002
Job Finanical Services Professional
Industry Financial Services
Experience
The Annuity Source, Inc. September 2013 - Present
HomeStreet Bank June 2012 - August 2013
Genworth Financial August 2007 - February 2008
Symetra Investment Services May 2006 - February 2007
Symetra Investment Services September 2005 - May 2006
Talbot Financial Services, Inc. March 2002 - September 2005
Banc of America Investment Services, Inc. September 1992 - March 2002
Skills
Sales Management, Annuities, Team Building, Strategic Partnerships, Insurance, Investments, Coaching, Customer Relations, Relationship Development, Cross Selling, Sales Presentations, Mentoring, Public Speaking, Banking, Sales Process, Fixed Annuities, Sales, Retirement Planning, Asset Management, Customer Service, Series 7, Marketing, Financial Services, Team Leadership, Consulting
Education
Seattle University 1990 — 1992
BA, Business Management
Rainier Beach High School
The Annuity Source, Inc. September 2013 - Present
HomeStreet Bank June 2012 - August 2013
Genworth Financial August 2007 - February 2008
Symetra Investment Services May 2006 - February 2007
Symetra Investment Services September 2005 - May 2006
Talbot Financial Services, Inc. March 2002 - September 2005
Banc of America Investment Services, Inc. September 1992 - March 2002
Skills
Sales Management, Annuities, Team Building, Strategic Partnerships, Insurance, Investments, Coaching, Customer Relations, Relationship Development, Cross Selling, Sales Presentations, Mentoring, Public Speaking, Banking, Sales Process, Fixed Annuities, Sales, Retirement Planning, Asset Management, Customer Service, Series 7, Marketing, Financial Services, Team Leadership, Consulting
Education
Seattle University 1990 — 1992
BA, Business Management
Rainier Beach High School
Mey Saechao Mey Saechao's Banc of America Investment Services Inc Experience April 2004 - April 2006
Job Program Coordinator
Industry Facilities Services
Experience
Knowledge Universe March 2014 - Present
Knowledge Universe December 2012 - March 2014
Bank of America March 2009 - February 2012
Bank of America April 2008 - March 2009
Bank of America May 2006 - April 2008
Banc of America Investment Services, Inc. April 2004 - April 2006
Banc of America Investment Services, Inc. February 2001 - April 2004
Bank of America June 1995 - January 2001
Skills
Word, Excel, PowerPoint, Typing, Outlook, Self Driven, Organized, Microsoft Excel, Customer Service, Data Entry, Microsoft Word, Self-driven, Administrative..., Spreadsheets, Event Planning, Budgets, Employee Relations, Hiring, Training, Human Resources, Finance, Leadership, Management, Team Building, Recruiting, Banking, Sales, Retail, Process Improvement, Team Leadership, Customer Experience, Operations Management, Performance Management, Risk Management, Coaching, Leadership Development, Administrative...
Education
Portland State University 1998 — 2000
Bachelor of Science (BS), Business Administration and Management, General
Mt. Hood Community College 1996 — 1998
Associate's degree, Business Administration and Management, General
Knowledge Universe March 2014 - Present
Knowledge Universe December 2012 - March 2014
Bank of America March 2009 - February 2012
Bank of America April 2008 - March 2009
Bank of America May 2006 - April 2008
Banc of America Investment Services, Inc. April 2004 - April 2006
Banc of America Investment Services, Inc. February 2001 - April 2004
Bank of America June 1995 - January 2001
Skills
Word, Excel, PowerPoint, Typing, Outlook, Self Driven, Organized, Microsoft Excel, Customer Service, Data Entry, Microsoft Word, Self-driven, Administrative..., Spreadsheets, Event Planning, Budgets, Employee Relations, Hiring, Training, Human Resources, Finance, Leadership, Management, Team Building, Recruiting, Banking, Sales, Retail, Process Improvement, Team Leadership, Customer Experience, Operations Management, Performance Management, Risk Management, Coaching, Leadership Development, Administrative...
Education
Portland State University 1998 — 2000
Bachelor of Science (BS), Business Administration and Management, General
Mt. Hood Community College 1996 — 1998
Associate's degree, Business Administration and Management, General
Anthony M. Iannuzzi Anthony M. Iannuzzi's Banc of America Investment Services Inc Experience November 2004 - March 2007
Job Managing Director Global Account Leadership
Industry Financial Services
Experience
Broadridge Financial Solutions July 2012 - Present
Broadridge Financial Solutions, Inc. June 2010 - August 2013
Ridge Clearing & Outsourcing Solutions, Inc., A Division of Broadridge Financial Solutions, Inc. July 2008 - June 2010
Broadridge Financial Solutions March 2007 - July 2008
Banc of America Investment Services, Inc. November 2004 - March 2007
The Quick & Reilly Group February 1990 - October 2004
ADP - Brokerage Services Group July 1987 - January 1990
Skills
Securities, Brokerage, Wealth Management, Strategic Planning, Team Building, Client Services, Sales Management, Vendor Management, Process Engineering, Strategy Development, Capital Markets, Operations Management, Six Sigma, Process Improvement, Business Analysis, Program Management, Outsourcing, Account Management, Customer Service, BPO, Executive Management, Business Process..., Business Strategy, Mentoring, New Business Development, Financial Services, Solution Development, Solution Architecture, Solution Focused, Solution Selling, Problem Solving, Business Process, Customer Relations, Team Management, Business Management, Management, Strategy, Relationship Management, Banking, Strategic Partnerships, FINRA, Mutual Funds, Solutions Design, Training, Business Development, Project Management, Finance, Leadership, Fixed Income
Education
Wharton School of Business 1997 — 1999
Securities Industry Institute, Business Administration, Management and Operations
New York University 1996 — 1996
CCE, Management Information Systems - SCE
Stony Brook University 1983 — 1987
BA, Economics & Business Management
Broadridge Financial Solutions July 2012 - Present
Broadridge Financial Solutions, Inc. June 2010 - August 2013
Ridge Clearing & Outsourcing Solutions, Inc., A Division of Broadridge Financial Solutions, Inc. July 2008 - June 2010
Broadridge Financial Solutions March 2007 - July 2008
Banc of America Investment Services, Inc. November 2004 - March 2007
The Quick & Reilly Group February 1990 - October 2004
ADP - Brokerage Services Group July 1987 - January 1990
Skills
Securities, Brokerage, Wealth Management, Strategic Planning, Team Building, Client Services, Sales Management, Vendor Management, Process Engineering, Strategy Development, Capital Markets, Operations Management, Six Sigma, Process Improvement, Business Analysis, Program Management, Outsourcing, Account Management, Customer Service, BPO, Executive Management, Business Process..., Business Strategy, Mentoring, New Business Development, Financial Services, Solution Development, Solution Architecture, Solution Focused, Solution Selling, Problem Solving, Business Process, Customer Relations, Team Management, Business Management, Management, Strategy, Relationship Management, Banking, Strategic Partnerships, FINRA, Mutual Funds, Solutions Design, Training, Business Development, Project Management, Finance, Leadership, Fixed Income
Education
Wharton School of Business 1997 — 1999
Securities Industry Institute, Business Administration, Management and Operations
New York University 1996 — 1996
CCE, Management Information Systems - SCE
Stony Brook University 1983 — 1987
BA, Economics & Business Management
Greg Baugh Greg Baugh's Banc of America Investment Services Inc Experience October 2005 - April 2007
Job Franchise Business Consultant at Servpro Industries
Industry Management Consulting
Experience
Servpro Industries July 2013 - Present
Strategic Financial Partners July 2011 - July 2013
American Security Bank & Trust April 2007 - January 2011
Invest Financial April 2007 - January 2011
Banc of America Investment Services, Inc. October 2005 - April 2007
Bank of America July 1998 - October 2005
Skills
Investments, Finance, Banking, Small Business, Insurance, Customer Service, FINRA, Securities, Strategic Planning, Mutual Funds, Sales Management, Wealth Management, Sales, Team Building, Public Speaking, Marketing, Management, Leadership
Education
Liberty University 2008 — 2010
Bachelor's of Science, Business: Finance
Middle Tennessee State University 1987 — 1988
Business Administration: Management
University of Tennessee at Martin 1986 — 1987
Business Administration: Management
Servpro Industries July 2013 - Present
Strategic Financial Partners July 2011 - July 2013
American Security Bank & Trust April 2007 - January 2011
Invest Financial April 2007 - January 2011
Banc of America Investment Services, Inc. October 2005 - April 2007
Bank of America July 1998 - October 2005
Skills
Investments, Finance, Banking, Small Business, Insurance, Customer Service, FINRA, Securities, Strategic Planning, Mutual Funds, Sales Management, Wealth Management, Sales, Team Building, Public Speaking, Marketing, Management, Leadership
Education
Liberty University 2008 — 2010
Bachelor's of Science, Business: Finance
Middle Tennessee State University 1987 — 1988
Business Administration: Management
University of Tennessee at Martin 1986 — 1987
Business Administration: Management
Jon Danklefs's Banc of America Investment Services Inc Experience January 1998 - March 1999
Job Associate, Member National Self Storage Group (NSSG) at Marcus & Millichap
Industry Management Consulting
Experience
Marcus & Millichap October 2012 - Present
Ontario Drive & Gear Ltd. January 2011 - March 2012
Austainable Properties, LLC May 2010 - March 2011
Camper Clinic II July 2010 - January 2011
EAS Residential Services, LLP October 2007 - November 2009
Kia Motors America, Inc September 2005 - September 2007
GLOVIS America, Inc January 2003 - September 2005
Kia Motors America, Inc April 1999 - December 2002
Banc of America Investment Services, Inc. January 1998 - March 1999
Skills
Commercial Real Estate, Self-Storage, Comercial Real Estate..., Logistics, Real Estate, Customer Relations, Territory Management, Dealer Network..., Data Analysis, Key Account Management, Automotive, Supply Chain, Energy Efficiency, Product Marketing, Territory Development, District Sales..., Dealer Operations, Dealer Training, District Management, Distribution Center..., Port, Business Analysis, Wholesale, Wholesale Operations, Retail Marketing, Retail Sales, Retaining Customers, Sales Management, Commercial Vehicle, Motor Vehicle, Automobile, Automotive Parts, Automotive Aftermarket, Branch Management, Branch Administration, Branch Operation, MS Excel Pivot Tables, Microsoft Excel, Microsoft Word, Automotive Sales..., Product Training, Utility Vehicles, Powersports, ATV, RV, Financial Services, Financial Management..., Account Management, Selling, Customer Service
Education
Southern Methodist University - Cox School of Business 1999 — 2002
MBA, General Business
The University of Texas at Austin - Red McCombs School of Business 1996 — 1997
BBA, Finance
Marcus & Millichap October 2012 - Present
Ontario Drive & Gear Ltd. January 2011 - March 2012
Austainable Properties, LLC May 2010 - March 2011
Camper Clinic II July 2010 - January 2011
EAS Residential Services, LLP October 2007 - November 2009
Kia Motors America, Inc September 2005 - September 2007
GLOVIS America, Inc January 2003 - September 2005
Kia Motors America, Inc April 1999 - December 2002
Banc of America Investment Services, Inc. January 1998 - March 1999
Skills
Commercial Real Estate, Self-Storage, Comercial Real Estate..., Logistics, Real Estate, Customer Relations, Territory Management, Dealer Network..., Data Analysis, Key Account Management, Automotive, Supply Chain, Energy Efficiency, Product Marketing, Territory Development, District Sales..., Dealer Operations, Dealer Training, District Management, Distribution Center..., Port, Business Analysis, Wholesale, Wholesale Operations, Retail Marketing, Retail Sales, Retaining Customers, Sales Management, Commercial Vehicle, Motor Vehicle, Automobile, Automotive Parts, Automotive Aftermarket, Branch Management, Branch Administration, Branch Operation, MS Excel Pivot Tables, Microsoft Excel, Microsoft Word, Automotive Sales..., Product Training, Utility Vehicles, Powersports, ATV, RV, Financial Services, Financial Management..., Account Management, Selling, Customer Service
Education
Southern Methodist University - Cox School of Business 1999 — 2002
MBA, General Business
The University of Texas at Austin - Red McCombs School of Business 1996 — 1997
BBA, Finance
Gene Hilliard, CRC® Gene Hilliard, CRC®'s Banc of America Investment Services Inc Experience June 1993 - September 1999
Job Financial Advisor
Industry Financial Services
Experience
Emerge Financial Group February 2005 - Present
Genworth Financial September 2000 - February 2005
Charles Schwab September 1999 - September 2000
Banc of America Investment Services, Inc June 1993 - September 1999
Skills
Retirement Planning, Asset Management, Business Planning, Deferred Compensation, 401k Rollovers, IRA's, Term Life Insurance, Insurance Planning, Estate Planning, Tax Preparation, Debt Management, 529 Plans, Mutual Funds, Stock Management, ETFs, Separately Managed..., SEP, Fixed Annuities, Annuities
Education
California State University-Hayward 1986 — 1991
Bachelor of Arts
El Cerrito High School
Emerge Financial Group February 2005 - Present
Genworth Financial September 2000 - February 2005
Charles Schwab September 1999 - September 2000
Banc of America Investment Services, Inc June 1993 - September 1999
Skills
Retirement Planning, Asset Management, Business Planning, Deferred Compensation, 401k Rollovers, IRA's, Term Life Insurance, Insurance Planning, Estate Planning, Tax Preparation, Debt Management, 529 Plans, Mutual Funds, Stock Management, ETFs, Separately Managed..., SEP, Fixed Annuities, Annuities
Education
California State University-Hayward 1986 — 1991
Bachelor of Arts
El Cerrito High School
Brad Bestgen CFP®, AIF® Brad Bestgen CFP®, AIF®'s Banc of America Investment Services Inc Experience April 2005 - April 2008
Job Wealth Advisor
Industry Financial Services
Experience
Bestgen Wealth Management, LLC June 2014 - Present
Bay Financial Associates April 2008 - May 2014
Banc of America Investment Services, Inc April 2005 - April 2008
MFS Investment Management September 2002 - April 2005
Skills
Wealth Management, Investments, Retirement Planning, Strategic Financial..., Mutual Funds, Retirement, Asset Management, Securities, Risk Management, Financial Services, Finance, Entrepreneurship, Financial Advisory, Management, Investment Management
Education
Syracuse University 1998 — 2002
B.S., Finance and Marketing
Xaverian Brothers High School 1995 — 1998
High School, College Preparatory
Bestgen Wealth Management, LLC June 2014 - Present
Bay Financial Associates April 2008 - May 2014
Banc of America Investment Services, Inc April 2005 - April 2008
MFS Investment Management September 2002 - April 2005
Skills
Wealth Management, Investments, Retirement Planning, Strategic Financial..., Mutual Funds, Retirement, Asset Management, Securities, Risk Management, Financial Services, Finance, Entrepreneurship, Financial Advisory, Management, Investment Management
Education
Syracuse University 1998 — 2002
B.S., Finance and Marketing
Xaverian Brothers High School 1995 — 1998
High School, College Preparatory
Jennifer Linhart Hunter's Banc of America Investment Services Inc Experience January 2000 - April 2002
Job Director of Operations at Csenge Advisory Group
Industry Investment Management
Experience
Csenge Advisory Group October 2013 - Present
Advanced Investment Partners July 2007 - October 2013
MetLife November 2004 - June 2007
Prudential Financial March 2002 - April 2003
Banc of America Investment Services, Inc. January 2000 - April 2002
Skills
Mutual Funds, Asset Management, Equities, Portfolio Management, Asset Allocation, Investments, Fixed Income, Investment Management, Wealth Management
Education
LSU Shreveport 1993 — 1995
BA, Psychology
Csenge Advisory Group October 2013 - Present
Advanced Investment Partners July 2007 - October 2013
MetLife November 2004 - June 2007
Prudential Financial March 2002 - April 2003
Banc of America Investment Services, Inc. January 2000 - April 2002
Skills
Mutual Funds, Asset Management, Equities, Portfolio Management, Asset Allocation, Investments, Fixed Income, Investment Management, Wealth Management
Education
LSU Shreveport 1993 — 1995
BA, Psychology
Michelle Gore Lane Michelle Gore Lane's Banc of America Investment Services Inc Experience August 1998 - November 1999
Job Food Service Sales Manager Restaurants PepsiCo
Industry Consumer Goods
Experience
PepsiCo June 2014 - Present
PepsiCo Americas Beverages December 2012 - Present
Pepsi Beverages Company July 2010 - November 2012
Danone Waters of America January 2009 - February 2010
glaceau December 2006 - December 2008
Tile Roofs of Texas March 2005 - December 2006
CUNA Mutual Group November 1999 - March 2005
Banc of America Investment Services, Inc August 1998 - November 1999
Van Kampen Funds July 1997 - August 1998
Education
University of Houston
BBA, Finance
PepsiCo June 2014 - Present
PepsiCo Americas Beverages December 2012 - Present
Pepsi Beverages Company July 2010 - November 2012
Danone Waters of America January 2009 - February 2010
glaceau December 2006 - December 2008
Tile Roofs of Texas March 2005 - December 2006
CUNA Mutual Group November 1999 - March 2005
Banc of America Investment Services, Inc August 1998 - November 1999
Van Kampen Funds July 1997 - August 1998
Education
University of Houston
BBA, Finance
Ron Lishman's Banc of America Investment Services Inc Experience 2008 - 2009
Job Financial Services Professional
Industry Financial Services
Experience
RJL Financial June 2009 - Present
Banc of America Investment Services, Inc. 2008 - 2009
Countrywide Investment Services, Inc 2007 - 2008
TD Ameritrade Inc. / TD Waterhouse Inc. 2003 - 2006
TD Waterhouse Inc. 1999 - 2003
Education
Florida State University
Certificate in Financial Planning
York University
B.A., Poltical Science, Economics, Pre-Law
RJL Financial June 2009 - Present
Banc of America Investment Services, Inc. 2008 - 2009
Countrywide Investment Services, Inc 2007 - 2008
TD Ameritrade Inc. / TD Waterhouse Inc. 2003 - 2006
TD Waterhouse Inc. 1999 - 2003
Education
Florida State University
Certificate in Financial Planning
York University
B.A., Poltical Science, Economics, Pre-Law
Troy Chakarun, CPWA's Banc of America Investment Services Inc Experience April 2004 - April 2005
Job SVP, National Sales Manager Private Wealth & Advisory Group at Voya Investment Management
Industry Financial Services
Experience
Voya Investment Management November 2014 - Present
Voya Investment Management March 2011 - November 2014
Voya Investment Management November 2008 - March 2011
ING Funds May 2005 - November 2008
Banc of America Investment Services, Inc. April 2004 - April 2005
Merrill Lynch 1998 - 2004
Skills
Wealth Management, Financial Advisory, Wealth, Mutual Funds, Series 7, Alternative Investments, Asset Allocation, Series 63, Separately Managed..., Asset Management, Investments, Investment Strategies, Investment Advisory, Portfolio Management, Series 65
Education
University of Arizona, Eller College of Management 1999 — 2001
MBA, Business
University of Arizona 1993 — 1997
B.A., Economics
Saguaro
Voya Investment Management November 2014 - Present
Voya Investment Management March 2011 - November 2014
Voya Investment Management November 2008 - March 2011
ING Funds May 2005 - November 2008
Banc of America Investment Services, Inc. April 2004 - April 2005
Merrill Lynch 1998 - 2004
Skills
Wealth Management, Financial Advisory, Wealth, Mutual Funds, Series 7, Alternative Investments, Asset Allocation, Series 63, Separately Managed..., Asset Management, Investments, Investment Strategies, Investment Advisory, Portfolio Management, Series 65
Education
University of Arizona, Eller College of Management 1999 — 2001
MBA, Business
University of Arizona 1993 — 1997
B.A., Economics
Saguaro
William Bellow, CFP®'s Banc of America Investment Services Inc Experience March 2007 - February 2009
Job Branch Manager at TD Ameritrade
Industry Financial Services
Experience
TD Ameritrade June 2011 - Present
Nationwide Insurance April 2009 - June 2011
Banc of America Investment Services, Inc March 2007 - February 2009
Citicorp Investment Services, Inc. 1999 - 2007
Dreyfus 1986 - 1999
Skills
Cash Management, Public Speaking, Credit Analysis, Consumer Lending
Education
State University of New York College at Brockport 1983 — 1985
B.S., Business Administration
TD Ameritrade June 2011 - Present
Nationwide Insurance April 2009 - June 2011
Banc of America Investment Services, Inc March 2007 - February 2009
Citicorp Investment Services, Inc. 1999 - 2007
Dreyfus 1986 - 1999
Skills
Cash Management, Public Speaking, Credit Analysis, Consumer Lending
Education
State University of New York College at Brockport 1983 — 1985
B.S., Business Administration
Jeff Schwartz's Banc of America Investment Services Inc Experience December 2003 - September 2005
Job Principal at Schwartz Financial Services and Regulatory Consulting
Industry Law Practice
Experience
Schwartz Financial Services and Regulatory Consulting 2014 - Present
FXCM 2012 - 2014
Royal Bank of Scotland 2012 - August 2012
Moody's Investors Service August 2009 - June 2011
Nomura Securities August 2007 - June 2009
Axiom Legal October 2006 - August 2007
CITIGROUP PRIVATE BANK September 2005 - January 2006
BANC OF AMERICA INVESTMENT SERVICES, INC December 2003 - September 2005
DEUTSCHE BANK SECURITIES INC December 1999 - May 2003
U.S. Securities and Exchange Commission April 1997 - December 1999
Skills
Financial Regulation, Internal Investigations, Compliance, SOX, Corporate Governance, Risk Management, White Collar, Governance, Compliance Management, Change Management, Change Leadership, White Collar Criminal..., Securities, Securities Regulation, Mergers & Acquisitions, Sarbanes-Oxley Act, Hedge Funds, Capital Markets
Education
Boston University School of Law 1985 — 1988
Doctor of Law (J.D.)
University of Pennsylvania 1981 — 1985
B.A., English, Wharton
Schwartz Financial Services and Regulatory Consulting 2014 - Present
FXCM 2012 - 2014
Royal Bank of Scotland 2012 - August 2012
Moody's Investors Service August 2009 - June 2011
Nomura Securities August 2007 - June 2009
Axiom Legal October 2006 - August 2007
CITIGROUP PRIVATE BANK September 2005 - January 2006
BANC OF AMERICA INVESTMENT SERVICES, INC December 2003 - September 2005
DEUTSCHE BANK SECURITIES INC December 1999 - May 2003
U.S. Securities and Exchange Commission April 1997 - December 1999
Skills
Financial Regulation, Internal Investigations, Compliance, SOX, Corporate Governance, Risk Management, White Collar, Governance, Compliance Management, Change Management, Change Leadership, White Collar Criminal..., Securities, Securities Regulation, Mergers & Acquisitions, Sarbanes-Oxley Act, Hedge Funds, Capital Markets
Education
Boston University School of Law 1985 — 1988
Doctor of Law (J.D.)
University of Pennsylvania 1981 — 1985
B.A., English, Wharton
Lawrence Joshua Nagel, CIMA's Banc of America Investment Services Inc Experience 2001 - 2009
Job Private Wealth Manager, Merrill Lynch Private Banking & Investment Group
Industry Investment Management
Experience
Merrill Lynch Private Banking & Investment Group February 2015 - Present
Merrill Lynch 2001 - January 2015
Banc of America Investment Services, Inc. 2001 - 2009
UBS 1999 - 2001
Skills
Series 7, Wealth Management, Investments, Alternative Investments, Asset Management, Equities, Series 63, Portfolio Management, Securities, Fixed Income, Mutual Funds, Retirement Planning
Education
Hamilton College 1993 — 1997
BA, English
Ethical Culture Fieldston School 1981 — 1993
Merrill Lynch Private Banking & Investment Group February 2015 - Present
Merrill Lynch 2001 - January 2015
Banc of America Investment Services, Inc. 2001 - 2009
UBS 1999 - 2001
Skills
Series 7, Wealth Management, Investments, Alternative Investments, Asset Management, Equities, Series 63, Portfolio Management, Securities, Fixed Income, Mutual Funds, Retirement Planning
Education
Hamilton College 1993 — 1997
BA, English
Ethical Culture Fieldston School 1981 — 1993
Chadd Slutzky's Banc of America Investment Services Inc Experience April 2004 - June 2008
Job US Equities/Derivatives Trader at ED&F Man PT
Industry Financial Services
Experience
ED&F Man PT March 2013 - Present
Banc of America Investment Services, Inc. April 2004 - June 2008
Skills
New Business Development, Series 7, Electronic Trading, Financial Analysis, Sales Management, Portfolio Management, Strategic Planning, Alternative Investments, Asset Allocation, Banking, Equities, Finance, Fixed Income, Hedge Funds, Investments, Risk Management, Securities
Education
University of Arizona 1995 — 1999
ED&F Man PT March 2013 - Present
Banc of America Investment Services, Inc. April 2004 - June 2008
Skills
New Business Development, Series 7, Electronic Trading, Financial Analysis, Sales Management, Portfolio Management, Strategic Planning, Alternative Investments, Asset Allocation, Banking, Equities, Finance, Fixed Income, Hedge Funds, Investments, Risk Management, Securities
Education
University of Arizona 1995 — 1999
Mary Pridgeon's Banc of America Investment Services Inc Experience 2000 - 2006
Job Vice President at Bank of America
Industry Banking
Experience
Bank of America 2010 - Present
Bank of America Merrill Lynch 2008 - 2010
Evergreen Investments May 2006 - May 2008
Banc of America Investment Services, Inc. 2000 - 2006
Banc One Securities Corporation 1992 - 2000
Skills
Wealth Management, Banking, Risk Management, Financial Services, Relationship Management, Vendor Management, Business Process..., Process Improvement, Six Sigma, Project Portfolio..., Business Analysis
Education
University of Dayton 1996 — 1998
Master of Business Administration (MBA)
The Ohio State University 1988 — 1992
BS, Finance, General
Bank of America 2010 - Present
Bank of America Merrill Lynch 2008 - 2010
Evergreen Investments May 2006 - May 2008
Banc of America Investment Services, Inc. 2000 - 2006
Banc One Securities Corporation 1992 - 2000
Skills
Wealth Management, Banking, Risk Management, Financial Services, Relationship Management, Vendor Management, Business Process..., Process Improvement, Six Sigma, Project Portfolio..., Business Analysis
Education
University of Dayton 1996 — 1998
Master of Business Administration (MBA)
The Ohio State University 1988 — 1992
BS, Finance, General
Carla Hoyle's Banc of America Investment Services Inc Experience January 2003 - June 2009
Job Associate Investment Monitoring Analyst
Industry Financial Services
Experience
Bank of America September 2010 - Present
Merrill Lynch Wealth Management September 2009 - September 2010
Banc of America Investment Services Inc January 2003 - June 2009
Banc of America Investments January 2006 - January 2008
Skills
Portfolio Management, Risk Management, Series 63, Mortgage Lending, Credit, Process Improvement, Credit Analysis, FINRA, Series 24, Credit Risk
Education
University of North Carolina at Charlotte 2000 — 2008
Bachelor's degree, Software and Information Technology
Bank of America September 2010 - Present
Merrill Lynch Wealth Management September 2009 - September 2010
Banc of America Investment Services Inc January 2003 - June 2009
Banc of America Investments January 2006 - January 2008
Skills
Portfolio Management, Risk Management, Series 63, Mortgage Lending, Credit, Process Improvement, Credit Analysis, FINRA, Series 24, Credit Risk
Education
University of North Carolina at Charlotte 2000 — 2008
Bachelor's degree, Software and Information Technology
Amy Oswald's Banc of America Investment Services Inc Experience February 2006 - November 2007
Job Consumer Direct Mortgage Specialist NMLS # 940535 at Suntrust Mortgage
Industry Insurance
Experience
Suntrust Mortgage November 2014 - Present
MetLife June 2014 - October 2014
Bank of America July 2012 - June 2014
Merrill Lynch Wealth Management December 2009 - June 2012
Bank of America February 2009 - December 2009
Bank of America August 2008 - March 2009
Banc of America Investments November 2007 - August 2008
Banc of America Investment Services Inc. February 2006 - November 2007
E*TRADE Financial November 2005 - February 2006
Delinquency Servicing Unit Leader 1995 - 2005
Skills
Series 7, Series 63, Coaching, Call Center, Investments, Mortgage Lending, Mortgage Servicing, Retail Brokerage, Residential Mortgages, Outstanding Customer..., Call Centers, Financial Services, Mutual Funds, Finance, Options, Equities, Customer Service, Trading, Wealth Management, Banking, Retirement Planning, Credit, Loans, Portfolio Management, Securities, Credit Analysis, FHA, Mortgage Banking, Consumer Lending
Education
State University of New York College at Buffalo 1991 — 1996
Bachelor of Science, Business Studies
Suntrust Mortgage November 2014 - Present
MetLife June 2014 - October 2014
Bank of America July 2012 - June 2014
Merrill Lynch Wealth Management December 2009 - June 2012
Bank of America February 2009 - December 2009
Bank of America August 2008 - March 2009
Banc of America Investments November 2007 - August 2008
Banc of America Investment Services Inc. February 2006 - November 2007
E*TRADE Financial November 2005 - February 2006
Delinquency Servicing Unit Leader 1995 - 2005
Skills
Series 7, Series 63, Coaching, Call Center, Investments, Mortgage Lending, Mortgage Servicing, Retail Brokerage, Residential Mortgages, Outstanding Customer..., Call Centers, Financial Services, Mutual Funds, Finance, Options, Equities, Customer Service, Trading, Wealth Management, Banking, Retirement Planning, Credit, Loans, Portfolio Management, Securities, Credit Analysis, FHA, Mortgage Banking, Consumer Lending
Education
State University of New York College at Buffalo 1991 — 1996
Bachelor of Science, Business Studies
Al Braun's Banc of America Investment Services Inc Experience January 2005 - April 2008
Job Regulatory Supervision at TIAACREF
Industry Investment Management
Experience
TIAA-CREF February 2011 - July 2014
JP Morgan April 2008 - February 2011
Banc of America Investment Services, Inc. January 2005 - April 2008
Fidelity Investments October 1997 - December 2004
Skills
Capital Markets, Hedge Funds, Securities, Series 7, Equities, Fixed Income, Mutual Funds, Series 63, Wealth Management, Investments, Portfolio Management, Alternative Investments, Asset Allocation, Asset Management, Investment Management, Financial Services, Series 24, Bloomberg, Investment Strategies, Risk Management, Banking, Strategic Financial..., Retirement Planning, Investment Advisory, Private Banking, Wealth Management..., Trading, Derivatives, Financial Planning
Education
Curry College
Bachelor of Arts (B.A.)
TIAA-CREF February 2011 - July 2014
JP Morgan April 2008 - February 2011
Banc of America Investment Services, Inc. January 2005 - April 2008
Fidelity Investments October 1997 - December 2004
Skills
Capital Markets, Hedge Funds, Securities, Series 7, Equities, Fixed Income, Mutual Funds, Series 63, Wealth Management, Investments, Portfolio Management, Alternative Investments, Asset Allocation, Asset Management, Investment Management, Financial Services, Series 24, Bloomberg, Investment Strategies, Risk Management, Banking, Strategic Financial..., Retirement Planning, Investment Advisory, Private Banking, Wealth Management..., Trading, Derivatives, Financial Planning
Education
Curry College
Bachelor of Arts (B.A.)
Jodi Polick's Banc of America Investment Services Inc Experience December 2000 - January 2007
Job Business Support Manager at U.S. Trust, Bank of America Private Wealth Management
Industry Financial Services
Experience
U.S. Trust, Bank of America Private Wealth Management January 2015 - Present
U.S. Trust, Bank of America Private Wealth Management March 2010 - December 2014
U.S. Trust, Bank of America Private Wealth Management May 2009 - March 2010
U.S. Trust, Bank of America Private Wealth Management November 2008 - May 2009
U.S. Trust, Bank of America Private Wealth Management February 2007 - November 2008
Banc of America Investment Services, Inc. December 2000 - January 2007
Connecticut Telephone June 2000 - December 2000
Skills
Wealth Management, Investments, Banking, Portfolio Management, Leadership, Sales, Financial Services, Asset Management, Series 7, Analysis
Education
Sacred Heart University 1999 — 2003
BS, Sports Management, Finance
Choate Rosemary Hall 1995 — 1999
U.S. Trust, Bank of America Private Wealth Management January 2015 - Present
U.S. Trust, Bank of America Private Wealth Management March 2010 - December 2014
U.S. Trust, Bank of America Private Wealth Management May 2009 - March 2010
U.S. Trust, Bank of America Private Wealth Management November 2008 - May 2009
U.S. Trust, Bank of America Private Wealth Management February 2007 - November 2008
Banc of America Investment Services, Inc. December 2000 - January 2007
Connecticut Telephone June 2000 - December 2000
Skills
Wealth Management, Investments, Banking, Portfolio Management, Leadership, Sales, Financial Services, Asset Management, Series 7, Analysis
Education
Sacred Heart University 1999 — 2003
BS, Sports Management, Finance
Choate Rosemary Hall 1995 — 1999
Evan Spevak's Banc of America Investment Services Inc Experience August 2000 - April 2005
Job Supervising Anaylst at FINRA
Industry Financial Services
Experience
FINRA May 2008 - Present
Financial Industry Regulatory Authority May 2008 - Present
Sun Life/Independent Financial Marketing Group, Inc April 2005 - May 2008
IFMG 2005 - 2008
Independent Financial 2005 - 2008
Quick &" Reilly August 2000 - April 2005
Banc of America Investment Services, Inc August 2000 - April 2005
Banc of America Investments 2004 - 2005
Joseph Stevens & Company, Inc January 2000 - June 2000
Skills
Securities, Investments, Asset Managment, Due Diligence, Sales, Microsoft Office, Finance, Customer Service, Workshop Facilitation, Marketing, Quality Control, Policy Analysis, Advertising, Bookkeeping, Assets Recovery, Small Office, Lotus Smartsuite, Mutual Funds, Credit, Insurance
Education
University of Miami 1989 — 1990
M.B.A, Finance
University of Miami - School of Business 1989 — 1990
MBA, Finance
Management University of Miami 1979 — 1983
Master of Business Administration (MBA), Finance, General
University of Miami - School of Business 1979 — 1983
BBA, Management
FINRA May 2008 - Present
Financial Industry Regulatory Authority May 2008 - Present
Sun Life/Independent Financial Marketing Group, Inc April 2005 - May 2008
IFMG 2005 - 2008
Independent Financial 2005 - 2008
Quick &" Reilly August 2000 - April 2005
Banc of America Investment Services, Inc August 2000 - April 2005
Banc of America Investments 2004 - 2005
Joseph Stevens & Company, Inc January 2000 - June 2000
Skills
Securities, Investments, Asset Managment, Due Diligence, Sales, Microsoft Office, Finance, Customer Service, Workshop Facilitation, Marketing, Quality Control, Policy Analysis, Advertising, Bookkeeping, Assets Recovery, Small Office, Lotus Smartsuite, Mutual Funds, Credit, Insurance
Education
University of Miami 1989 — 1990
M.B.A, Finance
University of Miami - School of Business 1989 — 1990
MBA, Finance
Management University of Miami 1979 — 1983
Master of Business Administration (MBA), Finance, General
University of Miami - School of Business 1979 — 1983
BBA, Management
Scott Nagorka's Banc of America Investment Services Inc Experience March 2006 - May 2008
Job Financial Services Professional
Industry Financial Services
Experience
Reputable and Established Firm Director of SupervisionJHS Capital Advisors, IncMarch 2010 - July 2012
Colonial Brokerage, Inc August 2008 - November 2009
Banc of America Investment Services, Inc March 2006 - May 2008
Banc of America Investment Services, Inc. October 2004 - March 2006
Raymond James Financial Services, Inc July 2000 - September 2004
Raymond James Financial Services, Inc. January 1997 - July 2000
Franklin Templeton Distributors August 1996 - January 1997
T. Rowe Price Associates October 1994 - August 1996
Skills
CAMS - Certified Anti..., Florida 2-15 Life..., FINRA Series 3, 4, 6,...
Education
Rutgers College
BA, History/English
Rutgers, The State University of New Jersey-New Brunswick
Bachelor of Arts (B.A.), History
Reputable and Established Firm Director of SupervisionJHS Capital Advisors, IncMarch 2010 - July 2012
Colonial Brokerage, Inc August 2008 - November 2009
Banc of America Investment Services, Inc March 2006 - May 2008
Banc of America Investment Services, Inc. October 2004 - March 2006
Raymond James Financial Services, Inc July 2000 - September 2004
Raymond James Financial Services, Inc. January 1997 - July 2000
Franklin Templeton Distributors August 1996 - January 1997
T. Rowe Price Associates October 1994 - August 1996
Skills
CAMS - Certified Anti..., Florida 2-15 Life..., FINRA Series 3, 4, 6,...
Education
Rutgers College
BA, History/English
Rutgers, The State University of New Jersey-New Brunswick
Bachelor of Arts (B.A.), History
David Weitgenant's Banc of America Investment Services Inc Experience March 2000 - February 2005
Job VP, Senior Compliance Officer at First Republic Securities
Industry Financial Services
Experience
First Republic Securities March 2013 - Present
ThinkEquity, LLC March 2005 - December 2012
Banc of America Investment Services, Inc March 2000 - February 2005
J. P. Morgan Securities, Inc March 1998 - March 2000
EVEREN Securities, Inc April 1994 - March 1998
Dean Witter Reynolds, Inc February 1993 - April 1994
Dean Witter Reynolds, Inc April 1991 - February 1993
Skills
Wealth Management, Fixed Income, Asset Management, Investment Banking
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 1994 — 1996
MBA, Investments
Ball State University 1986 — 1990
BS, Finance
First Republic Securities March 2013 - Present
ThinkEquity, LLC March 2005 - December 2012
Banc of America Investment Services, Inc March 2000 - February 2005
J. P. Morgan Securities, Inc March 1998 - March 2000
EVEREN Securities, Inc April 1994 - March 1998
Dean Witter Reynolds, Inc February 1993 - April 1994
Dean Witter Reynolds, Inc April 1991 - February 1993
Skills
Wealth Management, Fixed Income, Asset Management, Investment Banking
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 1994 — 1996
MBA, Investments
Ball State University 1986 — 1990
BS, Finance
Jason Chiu's Banc of America Investment Services Inc Experience June 2006 - August 2007
Job Employee at East West Bank
Industry Financial Services
Experience
East West Bank March 2014 - Present
Citibank December 2011 - March 2014
Citi Personal Wealth Management June 2010 - December 2011
Wells Fargo June 2009 - December 2009
E*TRADE Financial September 2007 - April 2009
Banc of America Investment Services, Inc June 2006 - August 2007
Global American Investments, Inc June 2001 - May 2006
Leo Capital Management, Inc September 1998 - May 2001
University of California April 1999 - May 2000
Gallup Polls August 1997 - January 1998
Skills
Portfolio Management, Business Development, Investments, Banking, Marketing, CRM, Financial Services, Marketing Strategy, Sales, Microsoft Excel, Trading, Asset Allocation, Customer Service, PowerPoint, Financial Advisory, Relationship Management, Outlook, Options, Customer Retention, Wealth Management, Microsoft Word, Series 7, Series 63, Finance, Mutual Funds, Microsoft Office, Asset Management, Risk Management, Strategic Financial..., Financial Planning
Education
University of California, Irvine 1996 — 2000
Bachelor, Eonomics
East West Bank March 2014 - Present
Citibank December 2011 - March 2014
Citi Personal Wealth Management June 2010 - December 2011
Wells Fargo June 2009 - December 2009
E*TRADE Financial September 2007 - April 2009
Banc of America Investment Services, Inc June 2006 - August 2007
Global American Investments, Inc June 2001 - May 2006
Leo Capital Management, Inc September 1998 - May 2001
University of California April 1999 - May 2000
Gallup Polls August 1997 - January 1998
Skills
Portfolio Management, Business Development, Investments, Banking, Marketing, CRM, Financial Services, Marketing Strategy, Sales, Microsoft Excel, Trading, Asset Allocation, Customer Service, PowerPoint, Financial Advisory, Relationship Management, Outlook, Options, Customer Retention, Wealth Management, Microsoft Word, Series 7, Series 63, Finance, Mutual Funds, Microsoft Office, Asset Management, Risk Management, Strategic Financial..., Financial Planning
Education
University of California, Irvine 1996 — 2000
Bachelor, Eonomics
Warren Rockmacher's Banc of America Investment Services Inc Experience February 2005 - October 2006
Job CEO/PRESIDENT at Fairfield Investment Services
Industry Investment Management
Experience
Fairfield Investment Services. April 2012 - Present
Chase Investment Services Corp. November 2007 - March 2012
Chase Investment Services Corp October 2007 - March 2012
Citi Smith Barney October 2006 - October 2007
Banc of America Investment Services, Inc February 2005 - October 2006
Citizens Investment Services Corp November 2002 - February 2005
Sunlife of Canada June 2001 - September 2002
Putnam Investments August 1999 - June 2001
Scudder Financial Services October 1996 - August 1999
Connecticut Mutual/Mass Mutual June 1995 - October 1996
Skills
Retirement Planning, Investments, Asset Allocation, Wealth Management, Term Life Insurance, Life Insurance planning, Registered Investment..., Financial Planning, Mutual Funds, Fixed Annuities, Strategic Financial..., Financial Advisory, Life Insurance, Trusts, FINRA, Financial Services, Insurance, Securities, Finance, Investment Advisory, Disability Insurance, Series 63
Education
University of Hartford 1985 — 1989
Bachelor of Arts (B.A.), Politics & Government
Horace Greeley High School
Fairfield Investment Services. April 2012 - Present
Chase Investment Services Corp. November 2007 - March 2012
Chase Investment Services Corp October 2007 - March 2012
Citi Smith Barney October 2006 - October 2007
Banc of America Investment Services, Inc February 2005 - October 2006
Citizens Investment Services Corp November 2002 - February 2005
Sunlife of Canada June 2001 - September 2002
Putnam Investments August 1999 - June 2001
Scudder Financial Services October 1996 - August 1999
Connecticut Mutual/Mass Mutual June 1995 - October 1996
Skills
Retirement Planning, Investments, Asset Allocation, Wealth Management, Term Life Insurance, Life Insurance planning, Registered Investment..., Financial Planning, Mutual Funds, Fixed Annuities, Strategic Financial..., Financial Advisory, Life Insurance, Trusts, FINRA, Financial Services, Insurance, Securities, Finance, Investment Advisory, Disability Insurance, Series 63
Education
University of Hartford 1985 — 1989
Bachelor of Arts (B.A.), Politics & Government
Horace Greeley High School
Daniel Hinchey, CFA CFP's Banc of America Investment Services Inc Experience February 2006 - February 2008
Job Vice President at Fidelity Prime Brokerage
Industry Financial Services
Experience
Fidelity Prime Brokerage February 2008 - Present
Banc of America Investment Services, Inc. February 2006 - February 2008
Columbia Management Group June 2000 - February 2006
John Hancock Financial Services October 1998 - May 2000
Investors Bank & Trust October 1996 - October 1998
Skills
Prime Brokerage, Hedge Funds, Estate Planning, Financial Planning, Personal Tax Planning, Series 7, Series 66, Alternative Investments, Bloomberg, Equities, Mutual Funds, Fixed Income, Asset Allocation, Insurance Planning
Education
Bryant University 1992 — 1996
B.S/B.A, Finance
Andover High School
Fidelity Prime Brokerage February 2008 - Present
Banc of America Investment Services, Inc. February 2006 - February 2008
Columbia Management Group June 2000 - February 2006
John Hancock Financial Services October 1998 - May 2000
Investors Bank & Trust October 1996 - October 1998
Skills
Prime Brokerage, Hedge Funds, Estate Planning, Financial Planning, Personal Tax Planning, Series 7, Series 66, Alternative Investments, Bloomberg, Equities, Mutual Funds, Fixed Income, Asset Allocation, Insurance Planning
Education
Bryant University 1992 — 1996
B.S/B.A, Finance
Andover High School
Eric Flowers's Banc of America Investment Services Inc Experience August 2004 - August 2005
Job Managing Sales Director at North Shore Financial Group an Office of MetLife.
Industry Financial Services
Experience
North Shore Financial Group, an office of Metlife August 2005 - Present
Banc of America Investment Services, Inc. August 2004 - August 2005
Quick & Reilly September 1996 - August 2004
Skills
Fixed Annuities, Series 63, Series 7, Life Insurance, Retirement Planning, IRAs, Mutual Funds, Securities, 401k, Wealth Management..., Financial Services, Disability Insurance, Investments, Employee Benefits, Long-Term Care Insurance, Health Insurance
Education
Monmouth University 1992 — 1996
BA, Communications
Farmindale High School 1990 — 1992
North Shore Financial Group, an office of Metlife August 2005 - Present
Banc of America Investment Services, Inc. August 2004 - August 2005
Quick & Reilly September 1996 - August 2004
Skills
Fixed Annuities, Series 63, Series 7, Life Insurance, Retirement Planning, IRAs, Mutual Funds, Securities, 401k, Wealth Management..., Financial Services, Disability Insurance, Investments, Employee Benefits, Long-Term Care Insurance, Health Insurance
Education
Monmouth University 1992 — 1996
BA, Communications
Farmindale High School 1990 — 1992
Chad LaCroix's Banc of America Investment Services Inc Experience October 2000 - November 2007
Job Investment Center Manager at Merrill Lynch
Industry Investment Management
Experience
Merrill Lynch December 2007 - Present
Banc of America Investment Services, Inc October 2000 - November 2007
Banc of America Investment Services, Inc April 2000 - October 2000
TD Waterhouse, INC September 1999 - April 2000
TD Waterhouse, INC October 1998 - September 1999
Skills
Licensed Series 7, 8,..., Call Center, Brokerage
Education
Keene State College
Bachelor of Science, Business Management
Merrill Lynch December 2007 - Present
Banc of America Investment Services, Inc October 2000 - November 2007
Banc of America Investment Services, Inc April 2000 - October 2000
TD Waterhouse, INC September 1999 - April 2000
TD Waterhouse, INC October 1998 - September 1999
Skills
Licensed Series 7, 8,..., Call Center, Brokerage
Education
Keene State College
Bachelor of Science, Business Management
Kim Lucente's Banc of America Investment Services Inc Experience January 2009 - Present
Job Business Support Lead II at Banc of America Investments
Industry Financial Services
Experience
Banc of America Investment Services, Inc January 2009 - Present
Banc of America Investment Services, Inc June 2008 - January 2009
Banc of America Investment Services, Inc September 1998 - May 2008
Interstate Johnson/Lane February 1998 - September 1998
Interstate/Johnson October 1995 - February 1998
Education
Appalachian State University
West Charlotte Senior High School
Achieved High School Diploma
University of North Carolina at
Banc of America Investment Services, Inc January 2009 - Present
Banc of America Investment Services, Inc June 2008 - January 2009
Banc of America Investment Services, Inc September 1998 - May 2008
Interstate Johnson/Lane February 1998 - September 1998
Interstate/Johnson October 1995 - February 1998
Education
Appalachian State University
West Charlotte Senior High School
Achieved High School Diploma
University of North Carolina at
Corrina Medellin's Banc of America Investment Services Inc Experience June 2003 - August 2003
Job Financial Analyst at Bank of America
Industry Financial Services
Experience
Bank of America October 2005 - Present
Bank of America 2005 - 2011
Belk, Inc May 2004 - October 2005
Banc of America Investment Services, Inc June 2003 - August 2003
Education
University of North Carolina at Charlotte - Belk College of Business 2000 — 2004
BSBA, Double - Finance and Management
Bank of America October 2005 - Present
Bank of America 2005 - 2011
Belk, Inc May 2004 - October 2005
Banc of America Investment Services, Inc June 2003 - August 2003
Education
University of North Carolina at Charlotte - Belk College of Business 2000 — 2004
BSBA, Double - Finance and Management
Esteban Velez's Banc of America Investment Services Inc Experience April 2005 - July 2009
Job Sr. Manager Minute Clinic FP&A at CVS Health
Industry Retail
Experience
CVS Health January 2015 - Present
CVS Health September 2014 - December 2014
CVS Health June 2013 - August 2014
CVS Health September 2012 - May 2013
CVS Health September 2011 - August 2012
Banc of America Investment Services, Inc. April 2005 - July 2009
Prudential Financial January 2004 - April 2005
Skills
Financial Modeling, Financial Analysis, Investments, Equities, Due Diligence, Finance, Corporate Finance, Capital Markets, Financial Services, Bloomberg, Fixed Income, Competitive Analysis, Analytics, Mergers & Acquisitions, Strategy, Valuation, Management
Education
University of California, Los Angeles - The Anderson School of Management 2009 — 2011
Master of Business Administration (MBA)
Bryant University 1999 — 2003
Bachelor of Science (B.S.), Finance
CVS Health January 2015 - Present
CVS Health September 2014 - December 2014
CVS Health June 2013 - August 2014
CVS Health September 2012 - May 2013
CVS Health September 2011 - August 2012
Banc of America Investment Services, Inc. April 2005 - July 2009
Prudential Financial January 2004 - April 2005
Skills
Financial Modeling, Financial Analysis, Investments, Equities, Due Diligence, Finance, Corporate Finance, Capital Markets, Financial Services, Bloomberg, Fixed Income, Competitive Analysis, Analytics, Mergers & Acquisitions, Strategy, Valuation, Management
Education
University of California, Los Angeles - The Anderson School of Management 2009 — 2011
Master of Business Administration (MBA)
Bryant University 1999 — 2003
Bachelor of Science (B.S.), Finance
Joseph Latino's Banc of America Investment Services Inc Experience August 2003 - December 2005
Job OSJ Supervision Specialist at Cetera Advisor Networks LLC
Industry Investment Management
Experience
Cetera Advisor Networks LLC, member FINRA/SIPC May 2013 - Present
Self-Employed October 2010 - May 2013
Bank of America & Merrill Lynch October 2011 - August 2012
Citibank October 2007 - October 2010
Banc of America Investment Services Inc. August 2003 - December 2005
Bank of America April 2002 - August 2003
Bank of America June 1997 - April 2002
Wells Fargo August 1988 - June 1997
Skills
Credit, Consumer Lending, Financial Services, Banking, Retail Banking, Loans, Investment Banking, Compliance, Mortgage Lending, Series 7, Series 63, Series 6, Series 24, Licensed Life & Health..., Portfolio Management, OSJ Supervision, Leadership, Series 65, Series 53
Education
Loyola Marymount University 1984 — 1988
Bachelor of Business Administration (BBA), Business Administration and Management, General
St. John Bosco High School 1980 — 1984
Cetera Advisor Networks LLC, member FINRA/SIPC May 2013 - Present
Self-Employed October 2010 - May 2013
Bank of America & Merrill Lynch October 2011 - August 2012
Citibank October 2007 - October 2010
Banc of America Investment Services Inc. August 2003 - December 2005
Bank of America April 2002 - August 2003
Bank of America June 1997 - April 2002
Wells Fargo August 1988 - June 1997
Skills
Credit, Consumer Lending, Financial Services, Banking, Retail Banking, Loans, Investment Banking, Compliance, Mortgage Lending, Series 7, Series 63, Series 6, Series 24, Licensed Life & Health..., Portfolio Management, OSJ Supervision, Leadership, Series 65, Series 53
Education
Loyola Marymount University 1984 — 1988
Bachelor of Business Administration (BBA), Business Administration and Management, General
St. John Bosco High School 1980 — 1984
Steve Slattery's Banc of America Investment Services Inc Experience January 2000 - September 2008
Job Associate Resident Director
Industry Financial Services
Experience
Merrill Lynch August 2014 - Present
Merrill Lynch October 1996 - Present
BANC OF AMERICA INVESTMENT SERVICES, INC January 2000 - September 2008
NATIONSBANC INVESTMENTS, INC January 1998 - January 2000
Barnett Investments January 1996 - January 1998
JOHN HANCOCK DISTRIBUTORS, INC January 1994 - January 1996
JOHN HANCOCK DISTRIBUTORS, INC January 1993 - January 1994
John Hancock Distributors January 1989 - January 1993
Skills
Finance, Financial Analysis, Investments, Mutual Funds
Education
Boston University
Journalism
Northeastern University
B.S, Accounting
Merrill Lynch August 2014 - Present
Merrill Lynch October 1996 - Present
BANC OF AMERICA INVESTMENT SERVICES, INC January 2000 - September 2008
NATIONSBANC INVESTMENTS, INC January 1998 - January 2000
Barnett Investments January 1996 - January 1998
JOHN HANCOCK DISTRIBUTORS, INC January 1994 - January 1996
JOHN HANCOCK DISTRIBUTORS, INC January 1993 - January 1994
John Hancock Distributors January 1989 - January 1993
Skills
Finance, Financial Analysis, Investments, Mutual Funds
Education
Boston University
Journalism
Northeastern University
B.S, Accounting
Gay Nell Lewing Currie's Banc of America Investment Services Inc Experience May 1995 - April 2001
Job Designated Principal at LPL Financial
Industry Financial Services
Experience
LPL Financial February 2013 - Present
SagePoint Financial May 2005 - May 2012
Morgan Stanley February 2002 - June 2004
Comerica Securities April 2001 - February 2002
Banc of America Investment Services, Inc. May 1995 - April 2001
Skills
Certified Financial..., Fixed Annuities, Series 24, Series 63, Series 7, Insurance, Supervisory Skills, Securities, Cash Management, Investment Management, Risk Management, Risk Assessment, Series 9-10, Series 65, Texas Insurance..., Retirement, Variable Annuities, Retirement Planning, FINRA, Wealth Management, Mutual Funds, Asset Allocation, Investment Advisory, Series 6, Investment Strategies, Uniform Combined State..., Alternative Investments, IRAs, Financial Advisory, 401k, Investments, Estate Planning, Life Insurance, Wealth Management..., Financial Services, Strategic Financial..., Asset Management, Separately Managed..., ETFs, Portfolio Management, Long-term Care, Equities
Education
University of Houston-Clear Lake
Bachelor of Arts (B.A.), Liberal Arts and Sciences, General Studies and Humanities
LPL Financial February 2013 - Present
SagePoint Financial May 2005 - May 2012
Morgan Stanley February 2002 - June 2004
Comerica Securities April 2001 - February 2002
Banc of America Investment Services, Inc. May 1995 - April 2001
Skills
Certified Financial..., Fixed Annuities, Series 24, Series 63, Series 7, Insurance, Supervisory Skills, Securities, Cash Management, Investment Management, Risk Management, Risk Assessment, Series 9-10, Series 65, Texas Insurance..., Retirement, Variable Annuities, Retirement Planning, FINRA, Wealth Management, Mutual Funds, Asset Allocation, Investment Advisory, Series 6, Investment Strategies, Uniform Combined State..., Alternative Investments, IRAs, Financial Advisory, 401k, Investments, Estate Planning, Life Insurance, Wealth Management..., Financial Services, Strategic Financial..., Asset Management, Separately Managed..., ETFs, Portfolio Management, Long-term Care, Equities
Education
University of Houston-Clear Lake
Bachelor of Arts (B.A.), Liberal Arts and Sciences, General Studies and Humanities
Jason Misiano's Banc of America Investment Services Inc Experience July 2006 - June 2007
Job Vice President, Contact Center Director at Salem Five Bank
Industry Financial Services
Experience
Salem Five Bank January 2015 - Present
Merrill Edge July 2014 - January 2015
Merrill Edge April 2013 - July 2014
Merrill Edge September 2011 - April 2013
Merrill Edge July 2006 - September 2011
Banc of America Investment Services, Inc. July 2006 - June 2007
Brown & Company; J.P. Morgan Chase July 2003 - July 2006
Brownco September 2000 - June 2003
Morgan Stanley Smith Barney April 1999 - June 2000
McLaughlin, Piven & Vogel Securities January 1999 - April 1999
Skills
Equities
Education
Hofstra University 1994 — 1998
Hofstra University
Bachelor, Business Administration; Banking and Finance
Salem Five Bank January 2015 - Present
Merrill Edge July 2014 - January 2015
Merrill Edge April 2013 - July 2014
Merrill Edge September 2011 - April 2013
Merrill Edge July 2006 - September 2011
Banc of America Investment Services, Inc. July 2006 - June 2007
Brown & Company; J.P. Morgan Chase July 2003 - July 2006
Brownco September 2000 - June 2003
Morgan Stanley Smith Barney April 1999 - June 2000
McLaughlin, Piven & Vogel Securities January 1999 - April 1999
Skills
Equities
Education
Hofstra University 1994 — 1998
Hofstra University
Bachelor, Business Administration; Banking and Finance
Jane McAuliffe's Banc of America Investment Services Inc Experience February 2003 - December 2008
Job Forbes Financial Planning, Inc.
Industry Financial Services
Experience
The Shuster Group July 2013 - June 2015
Saint Elizabeth Community April 2011 - June 2013
Banc of America Investment Services, Inc. February 2003 - December 2008
Investment Services at Sovereign Bank March 2001 - March 2003
Fidelity Investments March 1998 - February 2003
State Street February 1996 - February 1998
Skills
Public Relations, Nonprofits, Strategic Planning, Event Management, Fundraising, Strategic Financial..., Sales, Marketing, Relationship Management, Product Marketing, Personal Financial..., Alternative Investments, Mutual Funds, Variable Annuities, Fixed Annuities, Equities, Fixed Income Portfolio...
Education
Bryant University 1991 — 1995
Bachelor of science, Management, marketing
The Shuster Group July 2013 - June 2015
Saint Elizabeth Community April 2011 - June 2013
Banc of America Investment Services, Inc. February 2003 - December 2008
Investment Services at Sovereign Bank March 2001 - March 2003
Fidelity Investments March 1998 - February 2003
State Street February 1996 - February 1998
Skills
Public Relations, Nonprofits, Strategic Planning, Event Management, Fundraising, Strategic Financial..., Sales, Marketing, Relationship Management, Product Marketing, Personal Financial..., Alternative Investments, Mutual Funds, Variable Annuities, Fixed Annuities, Equities, Fixed Income Portfolio...
Education
Bryant University 1991 — 1995
Bachelor of science, Management, marketing
Mark Douce's Banc of America Investment Services Inc Experience August 2006 - October 2009
Job Chief Compliance Officer, Capital One Securities, Inc.
Industry Financial Services
Experience
Capital One Securities, Inc. October 2012 - Present
Bank of America Merrill Lynch August 2010 - September 2012
Bank of America Merrill Lynch October 2009 - September 2010
Banc of America Investment Services Inc August 2006 - October 2009
National Association of Securities Dealers May 2005 - August 2005
HD Vest Investment Securities Inc. August 1998 - August 2003
Fidelity Investments Retirement Services Co October 1997 - August 1998
Skills
Policy, Securities, Compliance, AML, FINRA, Risk Management, Banking, Securities Law, USA PATRIOT Act, BSA
Education
Loyola University New Orleans School of Law 2003 — 2006
Juris Doctor, Common Law
University of North Texas
Bachelor of Arts, History
Capital One Securities, Inc. October 2012 - Present
Bank of America Merrill Lynch August 2010 - September 2012
Bank of America Merrill Lynch October 2009 - September 2010
Banc of America Investment Services Inc August 2006 - October 2009
National Association of Securities Dealers May 2005 - August 2005
HD Vest Investment Securities Inc. August 1998 - August 2003
Fidelity Investments Retirement Services Co October 1997 - August 1998
Skills
Policy, Securities, Compliance, AML, FINRA, Risk Management, Banking, Securities Law, USA PATRIOT Act, BSA
Education
Loyola University New Orleans School of Law 2003 — 2006
Juris Doctor, Common Law
University of North Texas
Bachelor of Arts, History
Leonard Annucci's Banc of America Investment Services Inc Experience 2002 - 2005
Job Vice President Administrative Manager at Bank of America Merrill Lynch
Industry
Experience
Bank of America Merrill Lynch March 2011 - Present
Morgan Stanley Smith Barney October 2005 - March 2011
Banc of America Investment Services, Inc. 2002 - 2005
Quick & Reilly, Inc. 1996 - 2002
Skills
Mutual Funds, Portfolio Management, Financial Services, Management, Investments, Securities, Financial Risk, Series 63, Series 7, Finance, Wealth Management, Sales, Equities
Education
Saint John's University 1976 — 1978
MBA, Finance
Temple University 1970 — 1974
BBA, Organizational Management
Bank of America Merrill Lynch March 2011 - Present
Morgan Stanley Smith Barney October 2005 - March 2011
Banc of America Investment Services, Inc. 2002 - 2005
Quick & Reilly, Inc. 1996 - 2002
Skills
Mutual Funds, Portfolio Management, Financial Services, Management, Investments, Securities, Financial Risk, Series 63, Series 7, Finance, Wealth Management, Sales, Equities
Education
Saint John's University 1976 — 1978
MBA, Finance
Temple University 1970 — 1974
BBA, Organizational Management
Kenneth Kimmel's Banc of America Investment Services Inc Experience July 2004 - May 2005
Job Branch Sales Manager at Valley National Bank
Industry Banking
Experience
Valley National Bank May 2010 - Present
Banking May 2010 - Present
HSBC Bank October 2005 - May 2008
Sovereign Bank/ Investment Services May 2005 - September 2005
Banc of America Investment Services, Inc. July 2004 - May 2005
Fleet Bank/Bank of America February 1999 - May 2005
Quick & Reilly, Inc January 2001 - January 2004
FleetBoston Financial January 1999 - January 2001
Education
Kean University
B.S, Accounting
Kean University
Valley National Bank May 2010 - Present
Banking May 2010 - Present
HSBC Bank October 2005 - May 2008
Sovereign Bank/ Investment Services May 2005 - September 2005
Banc of America Investment Services, Inc. July 2004 - May 2005
Fleet Bank/Bank of America February 1999 - May 2005
Quick & Reilly, Inc January 2001 - January 2004
FleetBoston Financial January 1999 - January 2001
Education
Kean University
B.S, Accounting
Kean University
Jessica Carriere's Banc of America Investment Services Inc Experience December 2006 - July 2008
Job Banking Professional
Industry Banking
Experience
BNY Mellon January 2011 - September 2011
BNY Mellon/RI Networking 2011 - 2011
Merrill Lynch, Formerly Banc of America Investment Services, Inc July 2008 - September 2010
Banc of America Investment Services, Inc December 2006 - July 2008
Dunkin Donuts September 2003 - December 2006
Education
Cheonggang Academy
High School Diploma
BNY Mellon January 2011 - September 2011
BNY Mellon/RI Networking 2011 - 2011
Merrill Lynch, Formerly Banc of America Investment Services, Inc July 2008 - September 2010
Banc of America Investment Services, Inc December 2006 - July 2008
Dunkin Donuts September 2003 - December 2006
Education
Cheonggang Academy
High School Diploma
Ryan Rosa's Banc of America Investment Services Inc Experience August 1996 - 2002
Job Tino Tile and Marble Co. Inc
Industry Construction
Experience
Self-employed September 2002 - Present
Tino Tile and Marble Co. Inc September 2002 - Present
Banc of America Investment Services, Inc August 1996 - 2002
Skills
Strategic Planning, Business Development, Supply Chain Management, Marble, Flooring, Tiles, Construction, Construction Management, Contract Management, Contract Negotiation, Contractors, Green Building, Process Scheduler, Renovation, Residential Homes, Budgets, Customer Service, Project Management, Project Planning
Education
Oxford University 2000 — 2001
International Competitive Advantage
Wake Forest University 1999 — 2001
Master of Business Administration (M.B.A.)
North Carolina State University 1985 — 1990
Bachelor of Business Administration (B.B.A.)
North Carolina State University 1985 — 1990
Bachelor of Arts (B.A.), Economics
Self-employed September 2002 - Present
Tino Tile and Marble Co. Inc September 2002 - Present
Banc of America Investment Services, Inc August 1996 - 2002
Skills
Strategic Planning, Business Development, Supply Chain Management, Marble, Flooring, Tiles, Construction, Construction Management, Contract Management, Contract Negotiation, Contractors, Green Building, Process Scheduler, Renovation, Residential Homes, Budgets, Customer Service, Project Management, Project Planning
Education
Oxford University 2000 — 2001
International Competitive Advantage
Wake Forest University 1999 — 2001
Master of Business Administration (M.B.A.)
North Carolina State University 1985 — 1990
Bachelor of Business Administration (B.B.A.)
North Carolina State University 1985 — 1990
Bachelor of Arts (B.A.), Economics
Kristin Youngberg's Banc of America Investment Services Inc Experience April 2003 - March 2008
Job Compliance Professional
Industry Financial Services
Experience
Banc of America Investment Services, Inc April 2003 - March 2008
Bank of America 2003 - 2008
Bank of America Corporation January 2000 - March 2003
Banc of America Investment Services, Inc June 1998 - January 2000
Education
Belmont Abbey College 1994 — 1998
Bachelor of Science (B.S.), Health/Health Care Administration/Management
Belmont Abbey College
Bachelor of Science, Health Care Management
Banc of America Investment Services, Inc April 2003 - March 2008
Bank of America 2003 - 2008
Bank of America Corporation January 2000 - March 2003
Banc of America Investment Services, Inc June 1998 - January 2000
Education
Belmont Abbey College 1994 — 1998
Bachelor of Science (B.S.), Health/Health Care Administration/Management
Belmont Abbey College
Bachelor of Science, Health Care Management
Steve Kolasinski's Banc of America Investment Services Inc Experience 2005 - 2006
Job Director, Retail/Consumer Sr. Compliance Manager at Bank of America
Industry Financial Services
Experience
Bank of America September 2014 - Present
Merrill Lynch July 2011 - Present
Merrill Lynch September 2006 - June 2011
Banc of America Investment Services, Inc. 2005 - 2006
Skills
Compliance, Loans, Internal Audit, Operational Risk, Risk Management, Strategic Financial..., Credit Risk, Mutual Funds, Portfolio Management, Due Diligence, Finance, Financial Risk, Mortgage Lending, Auditing, Internal Controls, Asset Management, Sarbanes-Oxley Act, Fraud, Corporate Governance, KYC, Operational Risk..., Financial Services, Corporate Finance, Insurance, Securities, Investments, Enterprise Risk..., Mergers & Acquisitions, Credit, AML, Financial Analysis, Banking, Anti Money Laundering
Education
Bryant College 1994 — 1998
Bachelor of Science (B.S.), Finance and Financial Management Services
Bank of America September 2014 - Present
Merrill Lynch July 2011 - Present
Merrill Lynch September 2006 - June 2011
Banc of America Investment Services, Inc. 2005 - 2006
Skills
Compliance, Loans, Internal Audit, Operational Risk, Risk Management, Strategic Financial..., Credit Risk, Mutual Funds, Portfolio Management, Due Diligence, Finance, Financial Risk, Mortgage Lending, Auditing, Internal Controls, Asset Management, Sarbanes-Oxley Act, Fraud, Corporate Governance, KYC, Operational Risk..., Financial Services, Corporate Finance, Insurance, Securities, Investments, Enterprise Risk..., Mergers & Acquisitions, Credit, AML, Financial Analysis, Banking, Anti Money Laundering
Education
Bryant College 1994 — 1998
Bachelor of Science (B.S.), Finance and Financial Management Services
Deloitte
PwC
Ernst & Young
Walgreens
Procter & Gamble
KPMG
PricewaterhouseCoopers
EY