SWBC Wealth Management
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SWBC Wealth Management Employees
Employee
Years
Job
Industry
J. Chris Treat, CTFA, CCTS J. Chris Treat, CTFA, CCTS's SWBC Wealth Management Experience February 2010 - November 2011
Job SVP & Trust Department Manager at First Community Bank
Industry Banking
Experience
First Community Bank February 2008 - Present
SWBC Wealth Management February 2010 - November 2011
Waddell & Reed July 2004 - February 2008
Skills
Personal Trust, Corporate Trust, Estate Tax Planning, Investment Management, Personal Financial..., Trust Operations, Relationship Management, Wealth Management, Retirement Planning, Alternative Investments, Structured Finance, Securities, Investment Strategies, Wealth Management..., High Net Worth..., Finance
Education
Creighton University's Heider College of Business 2014 — 2017
Master of Science (M.S.), Investment Management and Financial Analysis
Cannon Financial Institute 2011 — 2013
Corporate Trust
Boston University 2008 — 2011
Financial Planning and Services
Lyon College
Bachelor of Science (BS), Biochemistry and Mathematics
First Community Bank February 2008 - Present
SWBC Wealth Management February 2010 - November 2011
Waddell & Reed July 2004 - February 2008
Skills
Personal Trust, Corporate Trust, Estate Tax Planning, Investment Management, Personal Financial..., Trust Operations, Relationship Management, Wealth Management, Retirement Planning, Alternative Investments, Structured Finance, Securities, Investment Strategies, Wealth Management..., High Net Worth..., Finance
Education
Creighton University's Heider College of Business 2014 — 2017
Master of Science (M.S.), Investment Management and Financial Analysis
Cannon Financial Institute 2011 — 2013
Corporate Trust
Boston University 2008 — 2011
Financial Planning and Services
Lyon College
Bachelor of Science (BS), Biochemistry and Mathematics
Amber Ming Amber Ming's SWBC Wealth Management Experience April 2014 - Present
Job Wealth Management
Industry Investment Management
Experience
SWBC Wealth Management April 2014 - Present
Edward Jones August 2012 - March 2014
Thomson Reuters April 2009 - August 2012
Pro Doc April 2009 - August 2012
USS JOHN C. STENNIS (CVN May 2006 - October 2008
US Navy August 1998 - October 2008
Region Legal Service Office Navy Region Northwest January 2003 - May 2006
Naval Air Station Key West January 2000 - January 2003
USS GEORGE WASHINGTON (CVN 73) January 1998 - January 2000
Skills
Legal Assistance, Business Analysis, Finance, Investments, Insurance, Risk Management, Securities, Equities, Banking, Financial Services, Portfolio Management, Financial Risk, Asset Management, Strategic Financial..., Fixed Income, Trading, Financial Markets, Mutual Funds, Bonds, Wealth Management, Access, Government, Human Resources, Legal Writing, Management, SQL, Security, Team Leadership, Time Management, Training, Leadership, Customer Service, Legal Research, Public Speaking, Microsoft Office, Team Building
Education
University of the Incarnate Word 2015 — 2016
Master of Business Administration (M.B.A.)
University of the Incarnate Word 2011 — 2013
Bachelor of Science (BS), Banking and Finance
Fort Hays State University 2009 — 2011
Criminal Justice and Corrections
Navy JAG Legalman School 2000 — 2000
Navy Aviation Ordnanceman School 1998 — 1998
SWBC Wealth Management April 2014 - Present
Edward Jones August 2012 - March 2014
Thomson Reuters April 2009 - August 2012
Pro Doc April 2009 - August 2012
USS JOHN C. STENNIS (CVN May 2006 - October 2008
US Navy August 1998 - October 2008
Region Legal Service Office Navy Region Northwest January 2003 - May 2006
Naval Air Station Key West January 2000 - January 2003
USS GEORGE WASHINGTON (CVN 73) January 1998 - January 2000
Skills
Legal Assistance, Business Analysis, Finance, Investments, Insurance, Risk Management, Securities, Equities, Banking, Financial Services, Portfolio Management, Financial Risk, Asset Management, Strategic Financial..., Fixed Income, Trading, Financial Markets, Mutual Funds, Bonds, Wealth Management, Access, Government, Human Resources, Legal Writing, Management, SQL, Security, Team Leadership, Time Management, Training, Leadership, Customer Service, Legal Research, Public Speaking, Microsoft Office, Team Building
Education
University of the Incarnate Word 2015 — 2016
Master of Business Administration (M.B.A.)
University of the Incarnate Word 2011 — 2013
Bachelor of Science (BS), Banking and Finance
Fort Hays State University 2009 — 2011
Criminal Justice and Corrections
Navy JAG Legalman School 2000 — 2000
Navy Aviation Ordnanceman School 1998 — 1998
Carlos I. Fierro, AAMS® Carlos I. Fierro, AAMS®'s SWBC Wealth Management Experience January 2007 - December 2008
Job Wealth Advisor at USAA
Industry Financial Services
Experience
USAA January 2014 - Present
Wells Fargo Advisors, LLC May 2012 - January 2014
JPMorgan Chase January 2009 - May 2012
SWBC Wealth Management January 2007 - December 2008
Financial Network Investment Corporation, Member SIPC January 2006 - December 2006
AXA Advisors 2004 - December 2006
Skills
Investments, Wealth Management, Retirement Planning, Asset Allocation, Asset Managment
Education
The University of Texas at El Paso 1999 — 2004
Bachelor of Business Administration (B.B.A.), Accounting and Finance
USAA January 2014 - Present
Wells Fargo Advisors, LLC May 2012 - January 2014
JPMorgan Chase January 2009 - May 2012
SWBC Wealth Management January 2007 - December 2008
Financial Network Investment Corporation, Member SIPC January 2006 - December 2006
AXA Advisors 2004 - December 2006
Skills
Investments, Wealth Management, Retirement Planning, Asset Allocation, Asset Managment
Education
The University of Texas at El Paso 1999 — 2004
Bachelor of Business Administration (B.B.A.), Accounting and Finance
Gail Mitchell Gail Mitchell's SWBC Wealth Management Experience January 2014 - June 2015
Job Investment Prorfessionals Inc
Industry Financial Services
Experience
SWBC Wealth Management January 2014 - June 2015
USAA July 2013 - December 2013
Advisors Asset Management, Inc. February 2007 - May 2013
San Antonio Express-News 2005 - 2006
Skills
Series 7, Series 63, Mutual Funds, Fixed Income, Bonds, Retirement Planning, Investments, Financial Services, Bloomberg, Structured Products, Fixed Annuities, IRAs, Life Insurance, Relationship Management, Securities, Uniform Combined State...
Education
The University of Texas at San Antonio 2001 — 2006
BA, Marketing
The University of Texas at San Antonio 2001 — 2006
Bachelor of Business Administration in Marketing, Marketing
SWBC Wealth Management January 2014 - June 2015
USAA July 2013 - December 2013
Advisors Asset Management, Inc. February 2007 - May 2013
San Antonio Express-News 2005 - 2006
Skills
Series 7, Series 63, Mutual Funds, Fixed Income, Bonds, Retirement Planning, Investments, Financial Services, Bloomberg, Structured Products, Fixed Annuities, IRAs, Life Insurance, Relationship Management, Securities, Uniform Combined State...
Education
The University of Texas at San Antonio 2001 — 2006
BA, Marketing
The University of Texas at San Antonio 2001 — 2006
Bachelor of Business Administration in Marketing, Marketing
Joseph Karkar Joseph Karkar's SWBC Wealth Management Experience October 2014 - Present
Job PC Technician III at SWBC
Industry Information Technology and Services
Experience
SWBC Wealth Management October 2014 - Present
ASG, LLC October 2014 - October 2014
Paladin Consulting August 2014 - September 2014
Randstad Technologies US May 2014 - July 2014
Randstad Technologies US March 2013 - May 2014
SAIC January 2011 - March 2013
MySelf (as an independent consultant) 2009 - 2011
Motz, Inc 2006 - 2010
Skills
Active Directory, Troubleshooting, Technical Support, IT Service Management, Windows 7, XP, Windows XP Professional, Microsoft Office, Print Management, Citrix, VMware Infrastructure, BMC Remedy, Windows Server, Terminal Server, Computer Hardware, A+ Certified IT..., Network Security, Computer Security, WAN, DNS, DHCP, ITIL, Oracle, Wireshark, VPN, Photoshop, Dreamweaver, PC Anywhere, TCP/IP, LAN, Windows, CHCS, AHLTA, Windows XP
Education
Kaplan College-San Antonio-San Pedro 2010 — 2010
Technical, Computer Support Technician, 3.9 GPA
SWBC Wealth Management October 2014 - Present
ASG, LLC October 2014 - October 2014
Paladin Consulting August 2014 - September 2014
Randstad Technologies US May 2014 - July 2014
Randstad Technologies US March 2013 - May 2014
SAIC January 2011 - March 2013
MySelf (as an independent consultant) 2009 - 2011
Motz, Inc 2006 - 2010
Skills
Active Directory, Troubleshooting, Technical Support, IT Service Management, Windows 7, XP, Windows XP Professional, Microsoft Office, Print Management, Citrix, VMware Infrastructure, BMC Remedy, Windows Server, Terminal Server, Computer Hardware, A+ Certified IT..., Network Security, Computer Security, WAN, DNS, DHCP, ITIL, Oracle, Wireshark, VPN, Photoshop, Dreamweaver, PC Anywhere, TCP/IP, LAN, Windows, CHCS, AHLTA, Windows XP
Education
Kaplan College-San Antonio-San Pedro 2010 — 2010
Technical, Computer Support Technician, 3.9 GPA
Jeff Carrol Jeff Carrol's SWBC Wealth Management Experience September 2012 - Present
Job Financial Advisor / Investment Advisor at SWBC Wealth Management
Industry Financial Services
Experience
SWBC Wealth Management September 2012 - Present
Breast Cancer Resource Center May 2008 - Present
Emmis Austin Radio September 1982 - Present
New York Life March 2009 - August 2012
LBJ Broadcasting 1982 - 2009
KLBJ-FM (Emmis Communications) 1982 - 2009
KATT FM September 1979 - August 1982
KFMZ- FM September 1974 - September 1978
Skills
Broadcast, Radio, Radio Producing, Nonprofits, Voice Over, Radio Broadcasting, Financial Services, Investment Advisory, Retirement Planning, Education Funding, Long Term Care Insurance, Insurance, Brand Management, Management, Public Speaking, Public Relations, FAA Licensed Pilot, Adobe Audition
Education
University of Missouri-Columbia 1974 — 1978
Bachelor Of Journalism, Broadcast Journalism
SWBC Wealth Management September 2012 - Present
Breast Cancer Resource Center May 2008 - Present
Emmis Austin Radio September 1982 - Present
New York Life March 2009 - August 2012
LBJ Broadcasting 1982 - 2009
KLBJ-FM (Emmis Communications) 1982 - 2009
KATT FM September 1979 - August 1982
KFMZ- FM September 1974 - September 1978
Skills
Broadcast, Radio, Radio Producing, Nonprofits, Voice Over, Radio Broadcasting, Financial Services, Investment Advisory, Retirement Planning, Education Funding, Long Term Care Insurance, Insurance, Brand Management, Management, Public Speaking, Public Relations, FAA Licensed Pilot, Adobe Audition
Education
University of Missouri-Columbia 1974 — 1978
Bachelor Of Journalism, Broadcast Journalism
Cesar Olivares Cesar Olivares's SWBC Wealth Management Experience September 2014 - Present
Job Financial Advisor
Industry Financial Services
Experience
SWBC Wealth Management September 2014 - Present
Charles Schwab September 2009 - July 2014
H&R Block February 2008 - September 2009
Morgan Keegan January 2007 - February 2008
Skills
Series 7, Retirement Planning, Uniform Combined State..., Series 63, Wealth Management, Mutual Funds, Retirement, Series 65, Asset Allocation, Strategic Financial..., Investments, 401k, Fiscally Responsible, Securities, Social Networking, Team Leadership, Financial Planning
Education
Sam Rayburn
University of Houston
SWBC Wealth Management September 2014 - Present
Charles Schwab September 2009 - July 2014
H&R Block February 2008 - September 2009
Morgan Keegan January 2007 - February 2008
Skills
Series 7, Retirement Planning, Uniform Combined State..., Series 63, Wealth Management, Mutual Funds, Retirement, Series 65, Asset Allocation, Strategic Financial..., Investments, 401k, Fiscally Responsible, Securities, Social Networking, Team Leadership, Financial Planning
Education
Sam Rayburn
University of Houston
Monica Winn Monica Winn's SWBC Wealth Management Experience June 2015 - Present
Job Student at Texas A&M UniversityCorpus Christi
Industry Health, Wellness and Fitness
Experience
SWBC Wealth Management June 2015 - Present
Autism Community Network February 2015 - May 2015
Kinetic Kids January 2015 - May 2015
Romano's Macaroni Grill June 2013 - January 2014
Bill Miller Barbeque May 2011 - May 2013
Amy's All Star Dance Studio May 2011 - August 2012
Skills
Microsoft Office, Customer Service, Microsoft Excel, Microsoft Word, PowerPoint, Public Speaking, Research, Project Management, Leadership, Social Media, Marketing, Teaching, Strategic Planning, Team Leadership, Team Building, Training, Event Planning, Photoshop, Teamwork, Budgets, English, Project Planning, Public Relations, Windows, Sales Management, Time Management, Program Management
Education
Texas A&M University-Corpus Christi 2009 — 2015
Bachelor of Science in Kinesiology, Pre-Occupational Therapy Studies
SWBC Wealth Management June 2015 - Present
Autism Community Network February 2015 - May 2015
Kinetic Kids January 2015 - May 2015
Romano's Macaroni Grill June 2013 - January 2014
Bill Miller Barbeque May 2011 - May 2013
Amy's All Star Dance Studio May 2011 - August 2012
Skills
Microsoft Office, Customer Service, Microsoft Excel, Microsoft Word, PowerPoint, Public Speaking, Research, Project Management, Leadership, Social Media, Marketing, Teaching, Strategic Planning, Team Leadership, Team Building, Training, Event Planning, Photoshop, Teamwork, Budgets, English, Project Planning, Public Relations, Windows, Sales Management, Time Management, Program Management
Education
Texas A&M University-Corpus Christi 2009 — 2015
Bachelor of Science in Kinesiology, Pre-Occupational Therapy Studies
Miller Lori Miller Lori's SWBC Wealth Management Experience February 1999 - Present
Job Investment Commission Specialist for Southwest Business Corporation
Industry Investment Banking
Experience
SWBC Wealth Management February 1999 - Present
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, Customer Service, PowerPoint, English, Windows, Research, Outlook, Teaching, Photoshop, Public Speaking, HTML, Strategic Planning, Budgets, Negotiation, Editing, C++, C, Java
Education
Concordia University Texas 2011 — 2013
Concordia University San Antonio Texas
SWBC Wealth Management February 1999 - Present
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, Customer Service, PowerPoint, English, Windows, Research, Outlook, Teaching, Photoshop, Public Speaking, HTML, Strategic Planning, Budgets, Negotiation, Editing, C++, C, Java
Education
Concordia University Texas 2011 — 2013
Concordia University San Antonio Texas
Adam Burr, MBA/RPL Adam Burr, MBA/RPL's SWBC Wealth Management Experience July 2006 - August 2006
Job Petroleum Landman at Abstract & Title Resources, Inc.
Industry Oil & Energy
Experience
Abstract & Title Resources, Inc. June 2015 - Present
Jim Clark and Associates, LLC September 2011 - June 2015
Kahanek Land Services August 2010 - September 2011
United States Peace Corps February 2009 - October 2009
United States Peace Corps August 2007 - February 2009
Lubbock Independent School District September 2005 - May 2007
SWBC Wealth Management July 2006 - August 2006
Skills
Title Research, Lease Acquisition, International..., Spanish, Community Development, Capacity Building, Grant Writing, Fundraising, Public Speaking, Economic Development, Program Development, Strategic Planning
Education
AAPL 2014 — 2014
Registered Petroleum Landman (RPL) Certification No. 83,186
Texas Tech University - Rawls College of Business 2006 — 2007
Master of Business Administration (MBA), Business Administration
Texas Tech University - Rawls College of Business 2002 — 2006
High Performance Program, Business Administration; Management
Abstract & Title Resources, Inc. June 2015 - Present
Jim Clark and Associates, LLC September 2011 - June 2015
Kahanek Land Services August 2010 - September 2011
United States Peace Corps February 2009 - October 2009
United States Peace Corps August 2007 - February 2009
Lubbock Independent School District September 2005 - May 2007
SWBC Wealth Management July 2006 - August 2006
Skills
Title Research, Lease Acquisition, International..., Spanish, Community Development, Capacity Building, Grant Writing, Fundraising, Public Speaking, Economic Development, Program Development, Strategic Planning
Education
AAPL 2014 — 2014
Registered Petroleum Landman (RPL) Certification No. 83,186
Texas Tech University - Rawls College of Business 2006 — 2007
Master of Business Administration (MBA), Business Administration
Texas Tech University - Rawls College of Business 2002 — 2006
High Performance Program, Business Administration; Management
Philip G. Trent's SWBC Wealth Management Experience January 2008 - March 2009
Job Director of Market Development at Vitas Healthcare
Industry Hospital & Health Care
Experience
VITAS Healthcare May 2014 - Present
Sava Senior Care Consulting LLC September 2012 - April 2014
inVentiv Health April 2010 - September 2012
Lupin Pharmaceuticals March 2009 - April 2010
SWBC Wealth Management January 2008 - March 2009
TAP Pharmaceutical Products Inc. July 2002 - December 2007
TAP Pharmaceutical Products Inc. April 2001 - July 2002
TAP Pharmaceutical Products Inc. November 1999 - March 2001
TAP Pharmaceutical Products Inc. September 1998 - October 1999
TAP Pharmaceuticals November 1996 - August 1998
Skills
Healthcare, Negotiation, Urology, Gastroenterology, Neurology, Managed Care, Pharmaceuticals, Rheumatology, Pharmaceutical Sales, Endocrinology, Oncology, Immunology, Internal Medicine, Infectious Diseases, Business Acumen, Medical Devices, Cardiology, Hospitals, Pain Management, Sales Management, Orthopedics, Gynecology, Consultative Selling, Pulmonology, ENT, Sales Force..., Coaching, Pediatrics, Team Building, Product Launches, Account Management, Strategic Planning, Pharmaceutical Industry, Biotechnology, Lifesciences, Hospital Sales, Sales Effectiveness, Product Launch, Sales, Management, Training, Sales Operations, Strategy
Education
The University of Texas at Austin
BA, Biology/Chemistry
The University of Texas at Austin
Bachelor of Arts (BA), Molecular Biology
VITAS Healthcare May 2014 - Present
Sava Senior Care Consulting LLC September 2012 - April 2014
inVentiv Health April 2010 - September 2012
Lupin Pharmaceuticals March 2009 - April 2010
SWBC Wealth Management January 2008 - March 2009
TAP Pharmaceutical Products Inc. July 2002 - December 2007
TAP Pharmaceutical Products Inc. April 2001 - July 2002
TAP Pharmaceutical Products Inc. November 1999 - March 2001
TAP Pharmaceutical Products Inc. September 1998 - October 1999
TAP Pharmaceuticals November 1996 - August 1998
Skills
Healthcare, Negotiation, Urology, Gastroenterology, Neurology, Managed Care, Pharmaceuticals, Rheumatology, Pharmaceutical Sales, Endocrinology, Oncology, Immunology, Internal Medicine, Infectious Diseases, Business Acumen, Medical Devices, Cardiology, Hospitals, Pain Management, Sales Management, Orthopedics, Gynecology, Consultative Selling, Pulmonology, ENT, Sales Force..., Coaching, Pediatrics, Team Building, Product Launches, Account Management, Strategic Planning, Pharmaceutical Industry, Biotechnology, Lifesciences, Hospital Sales, Sales Effectiveness, Product Launch, Sales, Management, Training, Sales Operations, Strategy
Education
The University of Texas at Austin
BA, Biology/Chemistry
The University of Texas at Austin
Bachelor of Arts (BA), Molecular Biology
Tom Cain's SWBC Wealth Management Experience May 2012 - April 2014
Job Management Opportunities
Industry Oil & Energy
Experience
Land/Estate Management 1996 - Present
SWBC Wealth Management May 2012 - April 2014
Wells Fargo Advisors, LLC February 2011 - May 2012
Exceed, LLC. July 2010 - May 2011
Glass Doctor of Houston October 2005 - January 2010
SWS FINANCIAL SERVICES January 1997 - October 2005
Harris, Webb, & Garrison August 1995 - January 1997
Legg Mason September 1992 - August 1995
Lab Products, Inc August 1990 - September 1992
Lehman Brothers August 1988 - August 1990
Skills
Investment Advisory, Investments, Wealth Management, Asset Managment, Series 7, Retirement Planning, Mutual Funds, Strategic Financial..., Series 63, Portfolio Management, Asset Allocation, Capital Markets, Financial Advisory, Trust Management, Real Property, Agribusiness, Minerals, Finance, Investment Strategies, Asset Management, Investment Banking, Strategic Planning, Leadership, Retirement, Banking, Managerial Finance, Budgets, Management, Negotiation, Contract Negotiation, Financial Planning
Education
Baylor University - Hankamer School of Business 1986 — 1988
MBA, Capital Markets
Baylor University 1982 — 1986
BBA, Real Estate/Finance
University of London 1985 — 1985
Coursework, International Finance
Memorial High School 1978 — 1982
Land/Estate Management 1996 - Present
SWBC Wealth Management May 2012 - April 2014
Wells Fargo Advisors, LLC February 2011 - May 2012
Exceed, LLC. July 2010 - May 2011
Glass Doctor of Houston October 2005 - January 2010
SWS FINANCIAL SERVICES January 1997 - October 2005
Harris, Webb, & Garrison August 1995 - January 1997
Legg Mason September 1992 - August 1995
Lab Products, Inc August 1990 - September 1992
Lehman Brothers August 1988 - August 1990
Skills
Investment Advisory, Investments, Wealth Management, Asset Managment, Series 7, Retirement Planning, Mutual Funds, Strategic Financial..., Series 63, Portfolio Management, Asset Allocation, Capital Markets, Financial Advisory, Trust Management, Real Property, Agribusiness, Minerals, Finance, Investment Strategies, Asset Management, Investment Banking, Strategic Planning, Leadership, Retirement, Banking, Managerial Finance, Budgets, Management, Negotiation, Contract Negotiation, Financial Planning
Education
Baylor University - Hankamer School of Business 1986 — 1988
MBA, Capital Markets
Baylor University 1982 — 1986
BBA, Real Estate/Finance
University of London 1985 — 1985
Coursework, International Finance
Memorial High School 1978 — 1982
Alan Finney's SWBC Wealth Management Experience January 2008 - Present
Job Loss Mitigation at SWBC Wealth Management
Industry Financial Services
Experience
Paradigm .LLC May 2010 - Present
SWBC Wealth Management January 2008 - Present
Skills
English, Microsoft Excel, Microsoft Word, Microsoft Office, PowerPoint, Customer Service, Research, Outlook, Budgets, Public Speaking
Education
The University of Texas at San Antonio 2010 — 2012
Bachelor of Business Administration (BBA), Banking, Corporate, Finance, and Securities Law, 4.0
Paradigm .LLC May 2010 - Present
SWBC Wealth Management January 2008 - Present
Skills
English, Microsoft Excel, Microsoft Word, Microsoft Office, PowerPoint, Customer Service, Research, Outlook, Budgets, Public Speaking
Education
The University of Texas at San Antonio 2010 — 2012
Bachelor of Business Administration (BBA), Banking, Corporate, Finance, and Securities Law, 4.0
John Tuohy's SWBC Wealth Management Experience February 2015 - Present
Job Managing Director Capital Markets SWBC
Industry Capital Markets
Experience
SWBC Wealth Management February 2015 - Present
Advisors Asset Management, Inc. September 2001 - January 2015
Advisors Asset Management, Inc. February 2013 - August 2013
Advisors Asset Management, Inc. January 2010 - February 2013
Advisors Asset Management, Inc. May 2008 - December 2009
Advisors Asset Management, Inc. May 2007 - May 2008
Advisors Asset Management, Inc. October 2004 - December 2007
Advisors Asset Management, Inc. September 2001 - October 2004
Skills
Series 7, Series 63, Alternative Investments, Fixed Income, Securities, Asset Allocation, Asset Managment, Portfolio Management, Capital Markets, Trading, Bonds, Wealth Management, Series 24, Sales Management, Asset Management, Investment Strategies, Investments
Education
Providence College 1994 — 1998
BS, Business Management
Kent School 1992 — 1994
Baldwin HS 1991 — 1992
SWBC Wealth Management February 2015 - Present
Advisors Asset Management, Inc. September 2001 - January 2015
Advisors Asset Management, Inc. February 2013 - August 2013
Advisors Asset Management, Inc. January 2010 - February 2013
Advisors Asset Management, Inc. May 2008 - December 2009
Advisors Asset Management, Inc. May 2007 - May 2008
Advisors Asset Management, Inc. October 2004 - December 2007
Advisors Asset Management, Inc. September 2001 - October 2004
Skills
Series 7, Series 63, Alternative Investments, Fixed Income, Securities, Asset Allocation, Asset Managment, Portfolio Management, Capital Markets, Trading, Bonds, Wealth Management, Series 24, Sales Management, Asset Management, Investment Strategies, Investments
Education
Providence College 1994 — 1998
BS, Business Management
Kent School 1992 — 1994
Baldwin HS 1991 — 1992
Allen Barton's SWBC Wealth Management Experience July 2007 - November 2011
Job Compliance Officer
Industry Financial Services
Experience
SWBC Wealth Management July 2007 - November 2011
NFP Advisor Services Group June 2006 - July 2007
Investment Professionals October 2003 - April 2006
Skills
Series 7, Series 66, Series 53, Series 24, Series 4
Education
The University of Texas at San Antonio 1998 — 2003
Economics
SWBC Wealth Management July 2007 - November 2011
NFP Advisor Services Group June 2006 - July 2007
Investment Professionals October 2003 - April 2006
Skills
Series 7, Series 66, Series 53, Series 24, Series 4
Education
The University of Texas at San Antonio 1998 — 2003
Economics