Prudential Securities/Wachovia Securities
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Prudential Securities/Wachovia Securities Employees
UBS Financial Services January 2006 - Present
Prudential Securities/Wachovia Securities September 2000 - January 2006
Skills
Investments, Series 7, Wealth Management, Alternative Investments, Asset Allocation, Investment Strategies, Asset Management, Portfolio Management, Hedge Funds, Retirement Planning, Wealth Management..., Private Banking, Strategic Financial..., Separately Managed..., Financial Advisory, Structured Products, Retirement, ETFs, Options, Estate Planning, Banking, Risk Management, Trading, Finance, Insurance, Credit, Financial Services, Financial Analysis, Financial Markets, Securities, Capital Markets, Investment Advisory
Education
Florida State University 1992 — 1996
B.S. Finance
Habitat for Humanity of Greater Nashville October 2008 - Present
Otterbein University August 2005 - September 2008
Aerotek / ASTAR Air Cargo January 2005 - August 2005
Prudential Securities/Wachovia Securities March 2002 - December 2003
Skills
Database Management, Salesforce.com..., Microsoft Excel, Microsoft Word, Customer Service, Grant Writing
Education
Otterbein College 2006 — 2008
B.A., Human Resource Management
Xavier University 1997 — 1999
Hamilton Capital Management June 2012 - Present
Meeder Financial February 2008 - June 2012
The Garlikov Companies April 2006 - January 2008
Merrill Lynch June 2002 - April 2006
Prudential Financial November 1995 - June 2002
Prudential Securities/Wachovia Securities 1996 - 2002
Guangzhou International Trust & Investment Corp. (GUITIC) 1989 - 1992
Skills
Asset Management, Investments, Portfolio Management, Investment Management, Mutual Funds, Equities, Asset Allocation, Wealth Management, Retirement Planning, Management, Alternative Investments, Investment Strategies
Education
The Ohio State University - The Max M. Fisher College of Business
Master's degree, Business Administration
Ohio University
Master's degree, Economics
Ohio University
Master's degree, International Affairs
Independent Financial Group LLC January 2015 - Present
First Allied Securities-Reno November 2009 - December 2014
Prudential Securities/Wachovia Securities March 1989 - November 2005
Piper Jaffray and Hopwood August 1986 - March 1989
Piper Jaffray and Hopwood March 1980 - August 1986
Sioux Falls Aviation August 1977 - December 1979
Skills
Wealth Management, Retirement Planning, Strategic Financial..., Investment Advisory, Investments, Portfolio Management, Mutual Funds, Equities, Asset Allocation, Estate Planning, Asset Managment, 401k Rollovers, 401k Plans, Complex Insurance Issues, Long-term Care, Pilot
Education
Canon Financial Institute 2009 — 2011
CWS®, Certified Wealth Strategist
Vincennes University
Associate's degree, Aviation/Airway Management and Operations
University of Kentucky
University of Sioux Falls
Lincoln High in Sioux Falls, SD 1969 — 1971
Ameriprise Financial Services, Inc. September 2008 - Present
Harborview Investments 2005 - 2008
Prudential Securities/Wachovia Securities 1993 - 2005
Education
University of California, Irvine 1973 — 1977
Bachelor of Arts (B.A.), English Literature (British and Commonwealth)
Golden Gate University
Master of Laws (LL.M.), Taxation
Golden Gate University
Doctor of Law (J.D.), Tax Law/Taxation
M&T Bank August 2015 - Present
TD November 2008 - August 2015
Sun National Bank January 2008 - November 2008
Citizens Bank January 2005 - January 2008
Prudential Securities/Wachovia Securities September 2001 - January 2004
Ad Infinitum Productions, Inc February 1996 - September 2001
Playmakers of Baton Rouge August 1994 - February 1996
Skills
Microsoft Office, PowerPoint, Customer Service, English, Teaching, Budgets, Public Speaking, Strategic Planning, Leadership, Strategic Negotiations, Training, Educational Leadership, Music Education, Theatrical Production, Event Management, Managerial Finance, Coaching, Business Development, Management, Program Management, Banking, Sales, CRM, Fundraising, Entrepreneurship, Social Networking, Financial Services, Relationship Management, Credit, Finance, Retail Banking
Education
Michigan State University 1990 — 1994
Bachelor of Arts (B.A.), English Language and Literature, General
Upper Moreland High School 1986 — 1990
Golden Circle Insurance Agency, Inc. Insurance ProducerGolden Circle Insurance AgencyNovember 2009 - Present
Prudential Securities/Wachovia Securities February 1992 - February 2003
Tallahassee Democrat August 1983 - May 1988
Skills
Public Relations, Editing, Journalism, Public Speaking, Social Media, Event Planning, Event Management, Insurance, Non-profits, Coaching, Marketing Strategy, Customer Service, Health Insurance, Business Development
Education
American Baptist Seminaryof the West 1997 — 1998
N/a, Theology
San Francisco State University 1973 — 1982
BA, Journalism
Riverside City College 1972 — 1973
AA, General & Journalism
Wells Fargo Advisors, LLC September 2010 - Present
National Regulatory Services (formerly ComplianceMAX ) August 2007 - December 2009
ComplianceMAX Financial January 2007 - August 2007
Wachovia Securities August 2005 - December 2006
Wachovia Securities January 2004 - July 2005
Prudential Securities/Wachovia Securities July 2002 - December 2003
Prudential Securities July 1999 - January 2001
Prudential Securities May 1995 - June 1999
Prudential Securities January 1994 - May 1995
Prudential Securites January 1992 - December 1993
Education
Rutgers University-New Brunswick 2001 — 2003
BA - Labor Studies/Employment Relations
Grosse Pointe High
PNC Wealth Management January 2012 - Present
Morgan Stanley Smith Barney June 2005 - January 2012
Prudential Securities/Wachovia Securities May 1998 - June 2005
Goal Systems 1990 - 1993
Coopers & Lybrand 1985 - 1990
Education
Stanford University 1981 — 1985
BA
Orange High School (Pepper Pike, OH) 1977 — 1981
Merrill Lynch December 2005 - Present
Advest, Inc. April 2004 - November 2005
Prudential Securities/Wachovia Securities November 1996 - March 2004
Skills
Wealth Management, Securities, Series 7, Alternative Investments, Mortgage Lending, Investment Strategies, Series 63, Loans, Equities, Asset Allocation, Retirement Planning, Credit, Investment Advisory, Portfolio Management, Asset Management, Investments, Hedge Funds, Retirement, Strategic Financial..., ETFs, 401k, Wealth Management..., Investment Management, Fixed Income, Capital Markets, Estate Planning, Financial Services, Mutual Funds, Options
Education
The American University - Washington College of Law 1989 — 1992
Juris Doctor
University of Michigan 1985 — 1989
Bachelor of Arts (B.A.), Political Science and Government
Quest Wealth Management with Ameriprise Financial Services, Inc. April 2015 - Present
Ameriprise Financial Services, Inc. May 2010 - April 2015
RiverSource Distributors/Ameriprise Financial October 2008 - May 2010
Ameriprise Financial November 2005 - July 2008
Ameriprise Financial October 2003 - November 2005
Prudential Securities/Wachovia Securities July 2002 - September 2003
Edward Jones August 2001 - June 2002
American Express Financial Advisors April 2000 - July 2001
American Express Financial Advisors May 1998 - April 2000
Education
Luther College 1993 — 1997
BA, Music
Wells Fargo & Co October 2013 - Present
UBS Investment Bank October 2009 - October 2013
Prudential Securities/Wachovia Securities May 1989 - July 2009
Skills
Securities, AML, Capital Markets, Investment Banking, Investigations, Fraud, Banking, Risk, Securities Regulation, FINRA
Education
University of San Francisco School of Law 1979 — 1983
JD, Law
Mercury Financial Group 2010 - Present
Morgan Stanley Smith Barney 2007 - 2010
Prudential Securities/Wachovia Securities 2000 - 2007
Skills
Life Insurance, Retirement Planning, Wealth, Estate Planning, Long-term Care, Series 63, Insurance, Succession Planning, Wealth Management, Investments, Mutual Funds, Fixed Annuities, Strategic Financial..., Financial Advisory, Term Life Insurance, Wealth Accumulation, Strategic Planning, Underwriting, Long Term Care Insurance, Disability Insurance, Employee Benefits, Series 6, Retirement, Series 7, High Net Worth..., 401k, Wealth Management...
Education
University of Delaware
Bachelor of Arts (B.A.), Political Science and Government
Montauk Financial Group July 2007 - December 2008
Wachovia Securities, LLC March 2004 - February 2006
Prudential Securities/Wachovia Securities August 1999 - March 2004
Pruco Securities November 1998 - August 1999
Education
Lafayette College
Bachelor of Arts, Economics and Business