First Union Brokerage Services
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First Union Brokerage Services Employees
Employee
Years
Job
Industry
Pat Picornell, CFP Pat Picornell, CFP's First Union Brokerage Services Experience 1993 - 1999
Job Vice President Wealth Management at UBS Financial Services, Inc.
Industry Financial Services
Experience
UBS Financial Services January 2008 - Present
A G Edwards & Sons, Inc. August 1999 - January 2008
First Union Brokerage Services 1993 - 1999
Education
Florida Institute of Technology 1982 — 1985
Bachelor's degree, Electrical Engineering
United States Military Academy at West Point 1980 — 1982
UBS Financial Services January 2008 - Present
A G Edwards & Sons, Inc. August 1999 - January 2008
First Union Brokerage Services 1993 - 1999
Education
Florida Institute of Technology 1982 — 1985
Bachelor's degree, Electrical Engineering
United States Military Academy at West Point 1980 — 1982
Amy Cushman Amy Cushman's First Union Brokerage Services Experience July 1996 - July 1998
Job Director of Learning and Development at Beacon Health Options
Industry Hospital & Health Care
Experience
Beacon Health Options September 2013 - Present
Virginia Department of Business Assistance August 2000 - May 2013
JC Bradford and Co. July 1998 - August 2000
First Union Brokerage Services July 1996 - July 1998
Wheat First Butcher Singer January 1991 - July 1996
Education
The George Washington University
Master of Arts, Education and Human Development
Vanderbilt University
Owen Graduate School of Management’s Emerging and Executive Leaders Program
James Madison University
Bachelor of Science, Communication Arts
Beacon Health Options September 2013 - Present
Virginia Department of Business Assistance August 2000 - May 2013
JC Bradford and Co. July 1998 - August 2000
First Union Brokerage Services July 1996 - July 1998
Wheat First Butcher Singer January 1991 - July 1996
Education
The George Washington University
Master of Arts, Education and Human Development
Vanderbilt University
Owen Graduate School of Management’s Emerging and Executive Leaders Program
James Madison University
Bachelor of Science, Communication Arts
Roy E. Kelsey, CRPC® Roy E. Kelsey, CRPC®'s First Union Brokerage Services Experience June 1998 - January 2000
Job Owner of SkyView Wealth Management, LLC
Industry Financial Services
Experience
SkyView Wealth Management, LLC January 2013 - Present
Wells Fargo Advisors July 2009 - January 2013
SunTrust Investment Services, Inc. January 2005 - July 2009
G. A. Repple & Company May 2004 - January 2005
Banc Of America Investment Svc March 2003 - November 2003
SunTrust Investment Services, Inc. January 2000 - March 2003
First Union Brokerage Services June 1998 - January 2000
Skills
Investments, Finance, Securities, Financial Advisory, Wealth Management, Strategic Planning, Customer Service, Investment Strategies, Leadership, Portfolio Management, Asset Management, Public Speaking
Education
University of Central Florida - College of Business Administration
Finance, Investments and Securities
SkyView Wealth Management, LLC January 2013 - Present
Wells Fargo Advisors July 2009 - January 2013
SunTrust Investment Services, Inc. January 2005 - July 2009
G. A. Repple & Company May 2004 - January 2005
Banc Of America Investment Svc March 2003 - November 2003
SunTrust Investment Services, Inc. January 2000 - March 2003
First Union Brokerage Services June 1998 - January 2000
Skills
Investments, Finance, Securities, Financial Advisory, Wealth Management, Strategic Planning, Customer Service, Investment Strategies, Leadership, Portfolio Management, Asset Management, Public Speaking
Education
University of Central Florida - College of Business Administration
Finance, Investments and Securities
Heather di Zerega Heather di Zerega's First Union Brokerage Services Experience August 1998 - June 1999
Job Registered Medical Assistant
Industry Medical Practice
Experience
Riva Aesthetic Dermatology February 2013 - Present
di Zerega Designs May 2006 - Present
First Union Retail Investment Group June 1999 - September 2002
First Union Brokerage Services August 1998 - June 1999
First Union Brokerage Services February 1998 - August 1998
R.M. Stark & Co May 1996 - January 1998
Skills
Taking Patient Vitals, Administering Injections, Venipuncture and..., HIPAA Knowledge, Ancillary Testing, EKG
Education
ECPI University 2011 — 2012
Associate of Applied Science, Medical/Clinical Assistant
Lynchburg College 1992 — 1996
Bachelor of Arts (BA), Managerial Economics
Riva Aesthetic Dermatology February 2013 - Present
di Zerega Designs May 2006 - Present
First Union Retail Investment Group June 1999 - September 2002
First Union Brokerage Services August 1998 - June 1999
First Union Brokerage Services February 1998 - August 1998
R.M. Stark & Co May 1996 - January 1998
Skills
Taking Patient Vitals, Administering Injections, Venipuncture and..., HIPAA Knowledge, Ancillary Testing, EKG
Education
ECPI University 2011 — 2012
Associate of Applied Science, Medical/Clinical Assistant
Lynchburg College 1992 — 1996
Bachelor of Arts (BA), Managerial Economics
Beth Bauguess Beth Bauguess's First Union Brokerage Services Experience 1998 - 1999
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
Steve Blum Steve Blum's First Union Brokerage Services Experience January 1993 - December 1999
Job Business Development Specialist at TIME Financial, a Crump Company
Industry Insurance
Experience
TIME Financial, a Crump Company March 2013 - Present
Investors Marketing Services November 2011 - February 2013
Allied Marketing Partners November 2010 - November 2011
Hooper Holmes Underwriting Solutions April 2009 - March 2010
Old Mutual Financial Network 2004 - 2008
Jackson National Life January 2003 - July 2003
Community Bank Marketing 2000 - 2003
Wachovia Securities 1993 - 2000
First Union Brokerage Services January 1993 - December 1999
Invest Financial 1989 - 1993
Skills
Fixed Annuities, Insurance, Life Insurance, Retirement, Retirement Planning, Series 63, Series 6, Variable Annuities, Long-term Care, Strategic Financial..., Mutual Funds, Sales Management, Territory Mgmt, Universal Life, Series 7, Term Life Insurance, Wealth Management, Financial Services, Sales, Long Term Care Insurance, Estate Planning, 401k, Business Development, Disability Insurance, Investments, Marketing, IRAs, Financial Planners, Strategy, Financial Advisory, Account Management, Health Insurance, Whole Life, FINRA, Underwriting, Securities, Critical Illness, Series 65, Investment Advisory, Employee Benefits, Brokers, Wealth, Pensions, Series 24, Financial Planning
Education
The University of Georgia 1973 — 1977
BA
The University of Georgia
TIME Financial, a Crump Company March 2013 - Present
Investors Marketing Services November 2011 - February 2013
Allied Marketing Partners November 2010 - November 2011
Hooper Holmes Underwriting Solutions April 2009 - March 2010
Old Mutual Financial Network 2004 - 2008
Jackson National Life January 2003 - July 2003
Community Bank Marketing 2000 - 2003
Wachovia Securities 1993 - 2000
First Union Brokerage Services January 1993 - December 1999
Invest Financial 1989 - 1993
Skills
Fixed Annuities, Insurance, Life Insurance, Retirement, Retirement Planning, Series 63, Series 6, Variable Annuities, Long-term Care, Strategic Financial..., Mutual Funds, Sales Management, Territory Mgmt, Universal Life, Series 7, Term Life Insurance, Wealth Management, Financial Services, Sales, Long Term Care Insurance, Estate Planning, 401k, Business Development, Disability Insurance, Investments, Marketing, IRAs, Financial Planners, Strategy, Financial Advisory, Account Management, Health Insurance, Whole Life, FINRA, Underwriting, Securities, Critical Illness, Series 65, Investment Advisory, Employee Benefits, Brokers, Wealth, Pensions, Series 24, Financial Planning
Education
The University of Georgia 1973 — 1977
BA
The University of Georgia
Clifford Stevens Clifford Stevens's First Union Brokerage Services Experience June 1997 - November 1997
Job Founder, President/CEO at CultureSpots
Industry Information Technology and Services
Experience
CultureSpots April 2014 - Present
Lokadot, LLC May 2011 - Present
MyOwnITGuy, Inc. January 2001 - December 2012
EverySAPJob.com September 2010 - October 2012
Arts & Business Council of Greater Philadelphia 2008 - 2009
ApartmentSolutions.com 2002 - 2003
BidTrac, Inc. February 2001 - December 2001
HomeAccount.com May 1999 - May 2000
Blackbaud, Inc. 1998 - 1999
First Union Brokerage Services June 1997 - November 1997
Skills
Mobile, Start-ups, Software Project..., Mobile Devices, Project Management, Program Management, Cloud Computing, Business Strategy, E-commerce, Networking, Entrepreneurship, Mobile Applications, Business Development, Product Management, New Business Development, Leadership, Web Development, Strategic Partnerships
Education
Singularity University 2010 — 2010
Executive Program - Winter 2010
James Madison University 1990 — 1994
B.B.A.
James Madison University - College of Business 1990 — 1994
BA
CultureSpots April 2014 - Present
Lokadot, LLC May 2011 - Present
MyOwnITGuy, Inc. January 2001 - December 2012
EverySAPJob.com September 2010 - October 2012
Arts & Business Council of Greater Philadelphia 2008 - 2009
ApartmentSolutions.com 2002 - 2003
BidTrac, Inc. February 2001 - December 2001
HomeAccount.com May 1999 - May 2000
Blackbaud, Inc. 1998 - 1999
First Union Brokerage Services June 1997 - November 1997
Skills
Mobile, Start-ups, Software Project..., Mobile Devices, Project Management, Program Management, Cloud Computing, Business Strategy, E-commerce, Networking, Entrepreneurship, Mobile Applications, Business Development, Product Management, New Business Development, Leadership, Web Development, Strategic Partnerships
Education
Singularity University 2010 — 2010
Executive Program - Winter 2010
James Madison University 1990 — 1994
B.B.A.
James Madison University - College of Business 1990 — 1994
BA
Steve Powers, CFA Steve Powers, CFA's First Union Brokerage Services Experience December 1997 - January 2001
Job Director, Portfolio Specialist Aegon USA Investment Management
Industry Investment Management
Experience
Aegon USA Investment Management November 2014 - Present
Incapital January 2013 - November 2014
LPL Financial June 2010 - December 2012
Evergreen Investment Management January 2004 - January 2011
Evergreen Investments January 2004 - May 2006
Merrill Lynch Global Private Client Group June 2002 - October 2003
Wachovia Private Financial January 2001 - June 2002
First Union Brokerage Services December 1997 - January 2001
Skills
Portfolio Management, Mutual Funds, Investments, Alternative Investments, Wealth Management, Investment Management, ETFs, Retirement Planning, Fixed Income, Separately Managed..., Securities, Relationship Management, Equities, Investment Advisory, CRM, Business Development, Business Strategy, Estate Planning, Competitive Analysis, New Business Development
Education
North Carolina State University 1989 — 1993
Bachelor of Arts, Economics; Business Administration; Finance
North Carolina State University - College of Management 1989 — 1993
B.A., Economics
Aegon USA Investment Management November 2014 - Present
Incapital January 2013 - November 2014
LPL Financial June 2010 - December 2012
Evergreen Investment Management January 2004 - January 2011
Evergreen Investments January 2004 - May 2006
Merrill Lynch Global Private Client Group June 2002 - October 2003
Wachovia Private Financial January 2001 - June 2002
First Union Brokerage Services December 1997 - January 2001
Skills
Portfolio Management, Mutual Funds, Investments, Alternative Investments, Wealth Management, Investment Management, ETFs, Retirement Planning, Fixed Income, Separately Managed..., Securities, Relationship Management, Equities, Investment Advisory, CRM, Business Development, Business Strategy, Estate Planning, Competitive Analysis, New Business Development
Education
North Carolina State University 1989 — 1993
Bachelor of Arts, Economics; Business Administration; Finance
North Carolina State University - College of Management 1989 — 1993
B.A., Economics
Donna Cifaldi Donna Cifaldi's First Union Brokerage Services Experience June 1996 - February 1997
Job Admin
Industry Financial Services
Experience
Infinex Investments, Inc. May 1997 - November 2013
First Union Brokerage Services June 1996 - February 1997
Westport Financial Services March 1995 - May 1996
Witten Commerical October 1994 - January 1995
Skills
Public Speaking, Asset Management, Banking, Social Media Marketing, Microsoft Excel, Microsoft Office, Event Planning, Budgets, Insurance, Mutual Funds, Series 7, Strategic Planning, Investments, Strategic Financial..., Customer Service, Management
Education
Albertus Magnus College 1971 — 1976
Infinex Investments, Inc. May 1997 - November 2013
First Union Brokerage Services June 1996 - February 1997
Westport Financial Services March 1995 - May 1996
Witten Commerical October 1994 - January 1995
Skills
Public Speaking, Asset Management, Banking, Social Media Marketing, Microsoft Excel, Microsoft Office, Event Planning, Budgets, Insurance, Mutual Funds, Series 7, Strategic Planning, Investments, Strategic Financial..., Customer Service, Management
Education
Albertus Magnus College 1971 — 1976
Durwayne Link Durwayne Link's First Union Brokerage Services Experience March 1999 - September 2001
Job Messer Financial (Independent Broker)
Industry Financial Services
Experience
Wells Fargo Advisors 2014 - 2015
Messer Financial Group 2013 - 2014
TIAA-CREF September 2011 - June 2013
HD Vest Financial Services February 2007 - September 2011
Bank of America January 2000 - March 2003
First Union Brokerage Services March 1999 - September 2001
Skills
Series 7, Series 63, Mutual Funds, Retirement Planning, Retirement, Wealth Management, Investments, Asset Allocation, Securities, Fixed Annuities, Strategic Financial..., Series 6, IRAs, 401k, Investment Advisory, Financial Planning
Education
Elizabeth City State University
Wells Fargo Advisors 2014 - 2015
Messer Financial Group 2013 - 2014
TIAA-CREF September 2011 - June 2013
HD Vest Financial Services February 2007 - September 2011
Bank of America January 2000 - March 2003
First Union Brokerage Services March 1999 - September 2001
Skills
Series 7, Series 63, Mutual Funds, Retirement Planning, Retirement, Wealth Management, Investments, Asset Allocation, Securities, Fixed Annuities, Strategic Financial..., Series 6, IRAs, 401k, Investment Advisory, Financial Planning
Education
Elizabeth City State University
John Sermania John Sermania's First Union Brokerage Services Experience October 1998 - December 2000
Job at TS Capital, LLC
Industry Financial Services
Experience
TS Capital, LLC October 2009 - Present
Sovereign Bank January 2009 - November 2009
Lincoln Financial Distributors December 2007 - September 2008
AIG SunAmerica October 2006 - December 2007
AIG SunAmerica December 2000 - October 2006
First Union Brokerage Services October 1998 - December 2000
Morgan Stanley June 1996 - October 1998
Skills
Series 7, Investments, Series 63, Retirement, Financial Advisory, Sales&Marketing, Unit Investment Trusts, Financial Services, Relationship..., Business Development, Separately Managed..., Relationship Management, Variable Annuities, Fixed Annuities, Mutual Funds, 401k
Education
Thomas Edison State College 1993 — 1996
B.S. B.A., Business
Villanova University
TS Capital, LLC October 2009 - Present
Sovereign Bank January 2009 - November 2009
Lincoln Financial Distributors December 2007 - September 2008
AIG SunAmerica October 2006 - December 2007
AIG SunAmerica December 2000 - October 2006
First Union Brokerage Services October 1998 - December 2000
Morgan Stanley June 1996 - October 1998
Skills
Series 7, Investments, Series 63, Retirement, Financial Advisory, Sales&Marketing, Unit Investment Trusts, Financial Services, Relationship..., Business Development, Separately Managed..., Relationship Management, Variable Annuities, Fixed Annuities, Mutual Funds, 401k
Education
Thomas Edison State College 1993 — 1996
B.S. B.A., Business
Villanova University
John G. Livewell John G. Livewell's First Union Brokerage Services Experience March 1997 - May 1998
Job Chief Compliance Officer at Penn Capital Management
Industry Investment Management
Experience
Penn Capital Management November 2008 - Present
Commerce Capital Markets April 2005 - November 2008
1717 Capital Management Company March 2004 - April 2005
FINRA February 2002 - March 2003
Philadelphia Stock Exchange February 2001 - February 2002
Philadelphia Stock Exchange June 1999 - February 2001
Philadelphia Stock Exchange May 1998 - June 1999
First Union Brokerage Services March 1997 - May 1998
First Fidelity/First Union National Bank April 1996 - February 1997
Skills
Private Fund Regulation, Blue Sky Filings, Form ADV Disclosure, Investment Advisors Act, Investment Companies Act, ERISA Compliance, ERISA, Mutual Funds, Securities, Financial Services, Equities, FINRA, Options, Series 7, Trading, Series 66, Series 24, Series 55, Hedge Funds, Series 63, Asset Management, Alternative Investments, Uniform Combined State..., Fixed Income, Investments
Education
Drexel University 1999 — 2001
MS, Finance, Investment Management
Kutztown University of Pennsylvania 1991 — 1995
BSBA, Finance
The Roman Catholic High School of Philadelphia 1987 — 1991
Penn Capital Management November 2008 - Present
Commerce Capital Markets April 2005 - November 2008
1717 Capital Management Company March 2004 - April 2005
FINRA February 2002 - March 2003
Philadelphia Stock Exchange February 2001 - February 2002
Philadelphia Stock Exchange June 1999 - February 2001
Philadelphia Stock Exchange May 1998 - June 1999
First Union Brokerage Services March 1997 - May 1998
First Fidelity/First Union National Bank April 1996 - February 1997
Skills
Private Fund Regulation, Blue Sky Filings, Form ADV Disclosure, Investment Advisors Act, Investment Companies Act, ERISA Compliance, ERISA, Mutual Funds, Securities, Financial Services, Equities, FINRA, Options, Series 7, Trading, Series 66, Series 24, Series 55, Hedge Funds, Series 63, Asset Management, Alternative Investments, Uniform Combined State..., Fixed Income, Investments
Education
Drexel University 1999 — 2001
MS, Finance, Investment Management
Kutztown University of Pennsylvania 1991 — 1995
BSBA, Finance
The Roman Catholic High School of Philadelphia 1987 — 1991
Joe W. Gibson Joe W. Gibson's First Union Brokerage Services Experience January 1998 - January 2000
Job Retirement Plan Consultant at Fisher Investments
Industry Financial Services
Experience
Fisher Investments June 2015 - Present
Mutual of Omaha December 2010 - February 2015
AXA Equitable, LLC June 2005 - July 2010
CPI Qualified Plan Consultants October 2002 - June 2005
AXA Distributors January 2000 - April 2002
FIRST UNION BROKERAGE SERVICES January 1998 - January 2000
Alliance Capital Management September 1993 - September 1998
Merrill Lynch January 1985 - September 1993
Skills
Mutual Funds, Retirement, Retirement Planning, Series 7, Investments, Financial Advisory, Pensions, Fixed Annuities, Financial Services, Insurance, Employee Benefits, 401k, Series 6, Defined Benefit, Series 65, Life Insurance, IRAs, FINRA, Series 63
Education
Mars Hill University 1972 — 1975
Bachelor of Science, Biology
NASD & FINRA
Fisher Investments June 2015 - Present
Mutual of Omaha December 2010 - February 2015
AXA Equitable, LLC June 2005 - July 2010
CPI Qualified Plan Consultants October 2002 - June 2005
AXA Distributors January 2000 - April 2002
FIRST UNION BROKERAGE SERVICES January 1998 - January 2000
Alliance Capital Management September 1993 - September 1998
Merrill Lynch January 1985 - September 1993
Skills
Mutual Funds, Retirement, Retirement Planning, Series 7, Investments, Financial Advisory, Pensions, Fixed Annuities, Financial Services, Insurance, Employee Benefits, 401k, Series 6, Defined Benefit, Series 65, Life Insurance, IRAs, FINRA, Series 63
Education
Mars Hill University 1972 — 1975
Bachelor of Science, Biology
NASD & FINRA
Stacy Goldsmith Stacy Goldsmith's First Union Brokerage Services Experience January 1996 - April 2001
Job Vice President at Herbert J. Sims & Co Inc Fixed Income Specialist
Industry Financial Services
Experience
Herbert J. Sims & Co. February 2012 - Present
UBS Financial Services December 2008 - February 2012
Glen Rauch Securities August 2004 - December 2008
Dime Securities April 2001 - October 2003
WM Financial Services 2001 - October 2003
First Union Brokerage Services January 1996 - April 2001
First Fidelity Bank 1992 - 1996
First Institutional Securities Inc 1990 - 1992
Discount Corporation of NY Municipals 1985 - 1989
Skills
Investments, Bonds, Series 7, Series 63, Wealth Management, Asset Managment, Trading, Securities, Fixed Income, Equities, Economics, Portfolio Management, Capital Markets, Investment Banking, Mutual Funds, FINRA, Alternative Investments, Asset Allocation, Bloomberg, Uniform Combined State..., Asset Management, Investment Strategies, Series 24
Education
Rutgers, The State University of New Jersey-New Brunswick 1979 — 1983
BA
Herbert J. Sims & Co. February 2012 - Present
UBS Financial Services December 2008 - February 2012
Glen Rauch Securities August 2004 - December 2008
Dime Securities April 2001 - October 2003
WM Financial Services 2001 - October 2003
First Union Brokerage Services January 1996 - April 2001
First Fidelity Bank 1992 - 1996
First Institutional Securities Inc 1990 - 1992
Discount Corporation of NY Municipals 1985 - 1989
Skills
Investments, Bonds, Series 7, Series 63, Wealth Management, Asset Managment, Trading, Securities, Fixed Income, Equities, Economics, Portfolio Management, Capital Markets, Investment Banking, Mutual Funds, FINRA, Alternative Investments, Asset Allocation, Bloomberg, Uniform Combined State..., Asset Management, Investment Strategies, Series 24
Education
Rutgers, The State University of New Jersey-New Brunswick 1979 — 1983
BA
Mike Knox Mike Knox's First Union Brokerage Services Experience May 1999 - February 2001
Job Vice President, Registration and Licensing at LPL Financial
Industry Financial Services
Experience
LPL Financial July 2014 - Present
LPL Financial July 2013 - July 2014
LPL Financial August 2010 - July 2013
LPL Financial Services January 2004 - August 2010
PFPC Global Fund Services February 2001 - January 2004
First Union Brokerage Services May 1999 - February 2001
First Union Brokerage Services December 1998 - May 1999
Skills
Securities, Series 7
Education
University of North Carolina at Charlotte 1994 — 1998
Olympic High School
LPL Financial July 2014 - Present
LPL Financial July 2013 - July 2014
LPL Financial August 2010 - July 2013
LPL Financial Services January 2004 - August 2010
PFPC Global Fund Services February 2001 - January 2004
First Union Brokerage Services May 1999 - February 2001
First Union Brokerage Services December 1998 - May 1999
Skills
Securities, Series 7
Education
University of North Carolina at Charlotte 1994 — 1998
Olympic High School
Parker Evans's First Union Brokerage Services Experience January 1981 - April 1993
Job President & Chief Investment Strategist, Successful Portfolios LLC
Industry Investment Management
Experience
Successful Portfolios LLC February 2010 - Present
Fifth Third Bank December 1998 - December 2009
Brookstreet Securities July 1995 - December 1998
Smith Barney April 1993 - July 1995
First Union Brokerage Services January 1981 - April 1993
Skills
Portfolio Management, Financial Planning, Investments, Bonds, ETFs, Stocks, Options, Bloomberg, Investment Strategies, Asset Allocation, Financial Advisory, Wealth Management, Mutual Funds, Investment Advisory, Series 7, Strategic Financial..., Equities, Alternative Investments, Hedge Funds, Securities, Investment Management, Fixed Income, Asset Management, Equity Research, Financial Markets
Education
Nova Southeastern University 1985 — 1987
MBA, Finance
Eckerd College 1978 — 1982
B.A., Economics
Clearwater High Scool 1975 — 1978
Diploma, College Prep, 10-12
Successful Portfolios LLC February 2010 - Present
Fifth Third Bank December 1998 - December 2009
Brookstreet Securities July 1995 - December 1998
Smith Barney April 1993 - July 1995
First Union Brokerage Services January 1981 - April 1993
Skills
Portfolio Management, Financial Planning, Investments, Bonds, ETFs, Stocks, Options, Bloomberg, Investment Strategies, Asset Allocation, Financial Advisory, Wealth Management, Mutual Funds, Investment Advisory, Series 7, Strategic Financial..., Equities, Alternative Investments, Hedge Funds, Securities, Investment Management, Fixed Income, Asset Management, Equity Research, Financial Markets
Education
Nova Southeastern University 1985 — 1987
MBA, Finance
Eckerd College 1978 — 1982
B.A., Economics
Clearwater High Scool 1975 — 1978
Diploma, College Prep, 10-12
Stace Karavitis Stace Karavitis's First Union Brokerage Services Experience February 1999 - November 1999
Job Financial Services Professional
Industry Financial Services
Experience
Principal Financial Group December 2007 - Present
INTEGRITY LIFE INSURANCE CO December 2006 - December 2007
MORGAN STANLEY DEAN WITTER December 2003 - July 2006
OPPENHEIMERFUNDS INC December 1999 - August 2003
FIRST UNION BROKERAGE SERVICES February 1999 - November 1999
NEW YORK LIFE INSURANCE AND ANNUITY CORP January 1998 - January 1999
AMERICAN SKANDIA LIFE ASSURANCE January 1997 - January 1998
Moody's Investors Service January 1993 - January 1996
Skills
Mutual Funds, Series 63, Alternative Investments, Asset Allocation, Wealth Management, Series 7, Relationship Management, Presentations, 401k, Variable Annuities, Indexed Annuities, Investments, Public Speaking, Sales Presentations, Investment Advisory, Retirement Planning, Series 6, Series 65, Securities, Retirement, Series 24
Education
The University of Connecticut School of Business 1997 — 2002
MBA, Finance
University of Connecticut 1988 — 1992
B.S. in B.A., Finance
Principal Financial Group December 2007 - Present
INTEGRITY LIFE INSURANCE CO December 2006 - December 2007
MORGAN STANLEY DEAN WITTER December 2003 - July 2006
OPPENHEIMERFUNDS INC December 1999 - August 2003
FIRST UNION BROKERAGE SERVICES February 1999 - November 1999
NEW YORK LIFE INSURANCE AND ANNUITY CORP January 1998 - January 1999
AMERICAN SKANDIA LIFE ASSURANCE January 1997 - January 1998
Moody's Investors Service January 1993 - January 1996
Skills
Mutual Funds, Series 63, Alternative Investments, Asset Allocation, Wealth Management, Series 7, Relationship Management, Presentations, 401k, Variable Annuities, Indexed Annuities, Investments, Public Speaking, Sales Presentations, Investment Advisory, Retirement Planning, Series 6, Series 65, Securities, Retirement, Series 24
Education
The University of Connecticut School of Business 1997 — 2002
MBA, Finance
University of Connecticut 1988 — 1992
B.S. in B.A., Finance
Harry Fleck's First Union Brokerage Services Experience June 1993 - June 2000
Job Senior Fixed Income Trading
Industry Investment Management
Experience
JVB FInancial May 2009 - Present
Evergreen Investments May 2003 - February 2009
Wachovia Dealer Services June 2000 - January 2003
First Union Brokerage Services June 1993 - June 2000
Dominion Bancshares July 1989 - June 1993
BankSouth 1987 - 1989
Skills
Fixed Income, Bonds, Trading, Investments, Bloomberg, Capital Markets, Portfolio Management, Structured Products, Asset Management, Alternative Investments, Series 7, Hedge Funds, Securities, Asset Allocation, Equities, Series 63
Education
Georgia State University 1984 — 1986
Economics/ Finance
New York Institute of Technology 1979 — 1981
Aerospace Engineering
JVB FInancial May 2009 - Present
Evergreen Investments May 2003 - February 2009
Wachovia Dealer Services June 2000 - January 2003
First Union Brokerage Services June 1993 - June 2000
Dominion Bancshares July 1989 - June 1993
BankSouth 1987 - 1989
Skills
Fixed Income, Bonds, Trading, Investments, Bloomberg, Capital Markets, Portfolio Management, Structured Products, Asset Management, Alternative Investments, Series 7, Hedge Funds, Securities, Asset Allocation, Equities, Series 63
Education
Georgia State University 1984 — 1986
Economics/ Finance
New York Institute of Technology 1979 — 1981
Aerospace Engineering
Doug Nitkiewicz's First Union Brokerage Services Experience September 1998 - September 1999
Job Project Manager
Industry Financial Services
Experience
TIAA-CREF November 2011 - Present
Modis March 2010 - November 2011
TIAA-CREF April 2008 - October 2009
LPL Financial September 2006 - January 2007
Banc of America Investments January 2006 - May 2006
Harrisdirect (now Etrade Financial) October 1999 - February 2005
First Union Brokerage Services September 1998 - September 1999
First Union Brokerage Services July 1996 - September 1998
United States Marine Corps February 1985 - February 1996
Skills
Software Documentation, Process Improvement, Project Management, Management, Analysis, Program Management, Strategy, Banking, Testing, Strategic Planning
Education
Central Piedmont Community College 2005 — 2007
Six Sigma Green Belt, Database Management
TIAA-CREF November 2011 - Present
Modis March 2010 - November 2011
TIAA-CREF April 2008 - October 2009
LPL Financial September 2006 - January 2007
Banc of America Investments January 2006 - May 2006
Harrisdirect (now Etrade Financial) October 1999 - February 2005
First Union Brokerage Services September 1998 - September 1999
First Union Brokerage Services July 1996 - September 1998
United States Marine Corps February 1985 - February 1996
Skills
Software Documentation, Process Improvement, Project Management, Management, Analysis, Program Management, Strategy, Banking, Testing, Strategic Planning
Education
Central Piedmont Community College 2005 — 2007
Six Sigma Green Belt, Database Management
Matt Bream's First Union Brokerage Services Experience September 1996 - September 1997
Job Paralegal at NC Department of Justice
Industry Legal Services
Experience
NC Department of Justice August 2010 - Present
Troutman Sanders, LLP June 2007 - September 2009
Mergent Inc December 1997 - March 2003
First Union Brokerage Services September 1996 - September 1997
Skills
Intellectual Property, Microsoft Office, Databases, Trademarks, Legal Writing, Litigation, Civil Litigation, Trials, Pleadings, Courts, Legal Assistance, Document Review, Litigation Support, Appeals, Corporate Law, Management, Legal Documents, Legal Research, Westlaw, LexisNexis
Education
North Carolina Central University School of Law 2012 — 2016
Duke University 2006 — 2007
Certificate, Paralegal Studies
University of North Carolina at Greensboro 1990 — 1996
Bachelor of Arts, History
NC Department of Justice August 2010 - Present
Troutman Sanders, LLP June 2007 - September 2009
Mergent Inc December 1997 - March 2003
First Union Brokerage Services September 1996 - September 1997
Skills
Intellectual Property, Microsoft Office, Databases, Trademarks, Legal Writing, Litigation, Civil Litigation, Trials, Pleadings, Courts, Legal Assistance, Document Review, Litigation Support, Appeals, Corporate Law, Management, Legal Documents, Legal Research, Westlaw, LexisNexis
Education
North Carolina Central University School of Law 2012 — 2016
Duke University 2006 — 2007
Certificate, Paralegal Studies
University of North Carolina at Greensboro 1990 — 1996
Bachelor of Arts, History
LaTonya Key's First Union Brokerage Services Experience October 1993 - July 1997
Job Senior New Business BD Specialist
Industry Investment Management
Experience
Met Life Securities January 2015 - Present
Linsco Private Ledger September 2007 - Present
Linsco Private Ledger September 2007 - Present
Carolinas Medical Center September 2005 - September 2007
UVEST Financial Services April 2004 - September 2005
Wachovia Mortgage January 2002 - April 2004
Mecklenburg County Sheriffs Office July 1997 - October 2001
First Union Brokerage Services October 1993 - July 1997
Skills
Investments, FINRA, 401k, Banking, Alternative Investments, Financial Analysis, Financial Services, Investment Advisory, Mutual Funds
Education
Strayer University 2015 — 2018
Bachelor's degree, Criminal Justice/Law Enforcement Administration
University of Phoenix 2012 — 2015
Business Administration, Management and Operations
Pfeiffer University 2005 — 2006
Criminal Justice
Ashworth College 2003 — 2005
Health Care Management, Program
Central Piedmont Comm. College
Criminal Justice Major
Providence High School
high school diploma
Strayer University
Met Life Securities January 2015 - Present
Linsco Private Ledger September 2007 - Present
Linsco Private Ledger September 2007 - Present
Carolinas Medical Center September 2005 - September 2007
UVEST Financial Services April 2004 - September 2005
Wachovia Mortgage January 2002 - April 2004
Mecklenburg County Sheriffs Office July 1997 - October 2001
First Union Brokerage Services October 1993 - July 1997
Skills
Investments, FINRA, 401k, Banking, Alternative Investments, Financial Analysis, Financial Services, Investment Advisory, Mutual Funds
Education
Strayer University 2015 — 2018
Bachelor's degree, Criminal Justice/Law Enforcement Administration
University of Phoenix 2012 — 2015
Business Administration, Management and Operations
Pfeiffer University 2005 — 2006
Criminal Justice
Ashworth College 2003 — 2005
Health Care Management, Program
Central Piedmont Comm. College
Criminal Justice Major
Providence High School
high school diploma
Strayer University
Scott MacIntosh, CFA's First Union Brokerage Services Experience January 1996 - April 1997
Job Financial analyst at Wells Fargo Securities
Industry Financial Services
Experience
Wells Fargo Securities March 2005 - Present
Evergreen Investments April 1997 - March 2005
Calvin's Coffees December 1996 - June 2000
First Union Brokerage Services January 1996 - April 1997
First Union Brokerage Services August 1993 - January 1996
Education
UNC Charlotte 2001 — 2003
MBA
Temple University 1986 — 1990
Bachelor of Business Administration (BBA), Finance and Real Estate
Wells Fargo Securities March 2005 - Present
Evergreen Investments April 1997 - March 2005
Calvin's Coffees December 1996 - June 2000
First Union Brokerage Services January 1996 - April 1997
First Union Brokerage Services August 1993 - January 1996
Education
UNC Charlotte 2001 — 2003
MBA
Temple University 1986 — 1990
Bachelor of Business Administration (BBA), Finance and Real Estate
Caroline Moreau's First Union Brokerage Services Experience 1999 - 2000
Job Analyst at ACG
Industry Investment Management
Experience
The Actuarial Consulting Group 2012 - Present
Cary Street Partners 2011 - 2012
Beacon Financial Advisory Group, LLC 2001 - 2003
First Union Brokerage Services 1999 - 2000
Education
Bryant College
University of Central Florida
Bachelor of Science (B.S.), Finance
The Actuarial Consulting Group 2012 - Present
Cary Street Partners 2011 - 2012
Beacon Financial Advisory Group, LLC 2001 - 2003
First Union Brokerage Services 1999 - 2000
Education
Bryant College
University of Central Florida
Bachelor of Science (B.S.), Finance