TD Waterhouse Investor Services
Industry: Company
DescriptionCustomer service: 1 (800) 454-9272 Headquarters: Omaha, NE Founded: 1971 Subsidiary: TD AMERITRADE Clearing, Inc., Asset Management Arm Parent organizations: TD Ameritrade, TD AMERITRADE Online Holdings Corp
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TD Waterhouse Investor Services Employees
Horace Mann January 2015 - Present
USAA January 2012 - December 2014
USAA March 2009 - January 2012
USAA February 2007 - March 2009
USAA August 2006 - February 2007
USAA, High Net Worth (Select®) May 2004 - August 2006
TD Waterhouse Investor Services December 2002 - September 2003
E*TRADE Financial May 2002 - December 2002
USAA, Investment Management Company August 1999 - May 2002
Skills
Microsoft Office, Strategic Leadership, Succession Planning, Leadership Development, Management, Leadership, Talent Management, Workforce Planning, Executive Coaching, Personnel Management, Strategic Planning, Training, Organizational..., Analysis, Process Improvement, Business Process..., Employee Training, Human Resources, Call Centers, Change Management, Organizational..., Coaching, Employee Engagement, Management Development, New Hire Orientations, Training Delivery, Career Development, Interviews, HR Consulting, HR Policies, Employee Benefits, HRIS, Performance Management, Deferred Compensation, Onboarding, Employee Relations, Hiring, Talent Acquisition, Recruiting, Organizational Design, College Recruiting, Applicant Tracking..., Benefits Administration, Conflict Resolution, Executive Management, Job Analysis, Culture Change, Performance Consulting, Job Evaluation, Performance Improvement
Education
The University of Texas at San Antonio 1992 — 1996
Bachelor of Arts, Psychology
ICMI
St. Mary's University - Postgraduate work
Industrial/Organizational Psychology
Enmax Energy November 2006 - Present
TD Waterhouse Investor Services June 2000 - May 2006
Skills
Energy, Account Management
Education
Northern Alberta Institute of Technology 2000 — 2002
Marketing
University of Alberta 1994 — 1999
Bachelor of Arts, Sociology
St Francis Xavier
Ameriprise Financial October 2014 - Present
Fidelity Investments January 2014 - April 2014
Charles Schwab April 2007 - April 2013
The Vanguard Group 2003 - 2007
AIG Advisor Group (SunAmerica, Sentra, and Spelman) 2002 - 2003
Charles Schwab 2000 - 2001
TD Waterhouse Investor Services 1999 - 2000
TD Waterhouse Investor Services 1998 - 1999
TD Waterhouse Investor Services 1996 - 1998
Skills
Series 7, Business Transformation, Competitive Analysis, Operational Risk..., Risk Management, Securities, Management, Financial Services, Six Sigma, Leadership, Series 24, Project Management, CRM, Relationship Management, FINRA, Series 63, Mutual Funds, Investments, Business Strategy, Employee Engagement, Net Promoter Score, Contact Centers, Development Of Employees, Process Improvement, Compliance, Great Motivator, Call Centers, Gallup Strengths, Strategy
Education
University of Nevada-Las Vegas 1990 — 1992
B.S., Business/Hotel Administration
University of Hawaii Maui College 1988 — 1990
General Studies
Cardinal Data Systems, Inc. August 2001 - Present
CDS Resources, LLC January 2004 - June 2010
AHP Settlement Trust 2005 - 2010
Hotres.com 2002 - 2005
AlliedTPro 2002 - 2005
Cardinal Data Systems, Inc. August 2001 - January 2004
TD Waterhouse Investor Services March 2000 - August 2001
CIBC World Markets January 1981 - March 2000
CIBC World Markets 1999 - 2000
CIBC World Markets 1981 - 2000
Skills
Disaster Recovery, IT Management, Project Management, Virtualization, Financial Services, Cloud computing (Iaas,..., Staff Augmentation, System Architecture, Business Analysis, Information Technology, Technical Recruiting, Technical Documentation, Talent Management, Screening Resumes, Team Leadership, SaaS, Document Imaging, Docuware, Process Improvement, Vendor Management, IT Strategy, Recruiting, Data Center, SDLC, Software Development, Management, Enterprise Architecture, Risk Management, ITIL, Software Project..., PMO, Cloud Computing, Infrastructure, Project Portfolio..., Business Continuity, Resource Management, Servers, Information Security, Solution Architecture, Program Management, Network Administration, Integration, Security, System Administration, Networking, IT Service Management, IT Operations, Outsourcing, Consulting, Strategy
Education
Pace University - Lubin School of Business 1980 — 1986
american institute of banking 1981 — 1983
Banking for Professionals, Banking and Financial Support Services
Music and Art
Investment Placement Group July 2015 - Present
Pershing LLC January 2008 - Present
Bear Stearns October 2001 - October 2007
SunGard 1998 - 2001
TD Waterhouse Investor Services 1996 - 1998
Philadelphia Stock Exchange 1990 - 1996
Skills
CRM, Financial Services, Management, Project Management, Sales Management, Strategy, Securities, Hedge Funds, Asset Management, Capital Markets, Trading, Executive Management, Equities, Sales, Fixed Income, Business Strategy
Education
Temple University
Prudential Real Estate Investors August 2011 - Present
Fox Asset Management, LLC July 2007 - August 2011
Prudential Investments July 2004 - July 2007
TD Waterhouse Investor Services November 1999 - July 2004
Dreyfus December 1997 - November 1999
AIG Royal Alliance October 1995 - December 1997
Skills
Series 7, Mutual Funds, Contract Negotiation, FINRA, Securities, Investment Advisory, Asset Managment, Alternative Investments, Series 24, Hedge Funds, Series 63, FX Options, Management, AML, Asset Allocation, Asset Management, Due Diligence, Equities, Investments, Risk Management
Education
University of Richmond - Robins School of Business 1989 — 1993
BSBA, Marketing
University of Richmond 1989 — 1993
Bachelor of Science, Business Administration
Monmouth University 2008 — 2009
MBA, Business Administration
California Coast Credit Union August 2011 - Present
Independent Financial Group LLC April 2011 - August 2011
TD Ameritrade Institutional Services June 2005 - October 2008
TD Waterhouse Investor Services March 1996 - August 2004
Skills
Training, Customer Service, Risk Management, Investments, Human Resources, Series 7, Microsoft Excel
Education
California State University San Marcos 1993 — 1995
BS, Business Administration, High Tech Management, 3.60
San Diego Miramar College 1991 — 1993
AS, Business Admin
Act-On Software, Inc. October 2014 - Present
Act-On Software, Inc. June 2013 - September 2014
Act-On Software, Inc. January 2011 - May 2013
Cisco WebEx January 2006 - December 2010
National Medical Health Card, Inc. (NMHC) February 2003 - December 2005
Health Net of California July 2002 - February 2004
Blue Cross of California October 2001 - July 2002
TD Waterhouse Investor Services February 2000 - October 2001
Skills
Account Management, Customer Service, Integrated Marketing, Relationship Management, Salesforce.com, SaaS, Lead Generation, Marketing Automation, Webinars, Solution Selling, WebEx, Sales, Enterprise Software, Analytics, Cloud Computing, CRM, Email Marketing, Customer Retention, Zendesk, Training, Software Industry, Start-ups, Online Marketing, Unified Communications, Customer Experience, Management, Leadership, B2B Marketing, Team Building, Strategic Planning, GoToMeeting, Team Leadership, Customer Engagement, Strategy
Education
University of California, Santa Barbara 1995 — 2000
BA, Business Economics
Eze Software Group April 2013 - Present
RealTick, LLC December 2010 - April 2013
Townsend Analytics, Ltd. (RealTick) March 2009 - December 2010
Townsend Analytics, Ltd. (RealTick) February 2008 - March 2009
Townsend Analytics, Ltd. (RealTick) February 2007 - February 2008
Williams-Sonoma, Inc. 2004 - 2007
TD Waterhouse Investor Services 2000 - 2000
TD Waterhouse Investor Services 1998 - 2000
TD Waterhouse Investor Services 1996 - 1998
TD Waterhouse Investor Services 1995 - 1996
Skills
Financial Modeling, Microsoft Excel, Commercials, Customer Relations, Process Improvement, Capital Markets, Customer Service, Leadership, Project Management, Financial Services, Investments, Financial Markets, Electronic Trading, Trading Systems
Education
Boston University 1981 — 1987
BA, Economics
FirsTrust, LLC - Private Wealth Management November 2000 - Present
TD Waterhouse Investor Services 2000 - 2008
Skills
Sales, Strategic Planning, Strategy, Investments, Finance, Financial Services, Management, Leadership, Public Speaking, Budgets
Education
Florida Institute of Technology 1982 — 1987
BS, Business Administration
Florida Institute of Technology 1982 — 1986
Bachelor's degree, Business Administration and Management, General
TD March 2013 - Present
TD Waterhouse Investor Services May 2008 - March 2013
TD May 2007 - May 2008
Skills
Relationship Management, Banking, Financial Modeling, Portfolio Management, Mutual Funds, Credit, Investments, Wealth Management, Financial Analysis, Commercial Banking, Loans, Business Development, Retail Banking, ETFs, Fixed Income, Asset Allocation, Customer Retention
Education
CSI
Canadian Securities Course
CSI
Options & Derivatives
Concordia University
Sumitomo Mitsui Banking Corporation October 2010 - Present
Wachovia, A Wells Fargo Company September 2009 - October 2010
Metlife Bank May 2009 - September 2009
Societe Generale March 2007 - October 2008
Credit Suisse July 2006 - March 2007
TD Waterhouse Investor Services May 2003 - July 2006
TD Waterhouse 2000 - 2003
Solomon Smith Barney June 1998 - June 2000
Skills
Loans, Banking, Back Office, Credit Risk, SWIFT payments, Derivatives, Business Analysis, Business Requirements, SDLC, Financial Services, Requirements Gathering, User Acceptance Testing, Requirements Analysis, Process Improvement, Business Intelligence, Project Delivery
Education
Rutgers, The State University of New Jersey-New Brunswick 1994 — 1998
Bachelor's degree, Economics
Comdata March 2014 - December 2014
LBMC August 2012 - February 2014
NCI Information Systems, Inc. April 2010 - August 2012
Computer Sciences Corporation April 2010 - April 2011
Department of Defense Dependent Schools December 2007 - March 2010
Rent-A-Geek Computer Services April 2005 - October 2007
TD Waterhouse Investor Services 2002 - 2004
Chapman University 1997 - 2001
Skills
Cat Herding, General Awesomeness, Awesomeness, CISSP, Hardware, Security, Vulnerability Assessment, Security+, Software Documentation, Technical Support, Windows Server, CompTIA Security+, Computer Hardware, Scripting, Patch Management, Altiris, Checkpoint, Nessus, McAfee, corgis, Help Desk Support, Servers, Windows 7, System Administration, A+, Whitewater Kayaking, CompTIA, Documentation, Problem Solving, awkward hugs, Iambic Pentameter, Information Security, Computer Security, Dog Grooming
Education
University of Maryland University College 2008 — 2010
MS, Information Technology Information Assurance
Augusta Technical College 2005 — 2007
Diploma, Computer Programming and A+/Net+
Chapman University 1997 — 2001
BFA, Film and Television Production
Fort Worth Employees' Retirement Fund June 2008 - Present
Texas Christian University August 2010 - Present
TCU Endowment Fund October 2007 - February 2008
Brazos River Capital June 2007 - October 2007
JPMorgan Chase & Co. August 2005 - July 2006
TD Waterhouse Investor Services December 2002 - August 2005
Morgan Stanley August 2000 - March 2002
Skills
Valuation, Financial Analysis, Capital Raising, Investments, Portfolio Management, Asset Managment, Private Equity, Mutual Funds, Pricing, Financial Modeling, Equities, Alternative Investments, Corporate Finance, Capital Markets, Equity Research, Risk Management, Due Diligence, Finance, Investment Strategies, Derivatives
Education
Texas A&M University-Commerce 2015 — 2018
Master’s Degree, Accounting
Texas Christian University 2006 — 2008
Master of Business Administration (M.B.A.), Corporate Finance & Investments
Oklahoma State University 1995 — 2000
Bachelor's Degree, Finance
Broadridge Financial Solutions 2007 - 2013
ADP 2005 - 2007
TD Waterhouse Investor Services 1996 - 2005
Fidelity Investments Company (National Financial Services Corp) 1990 - 1996
Thomson McKinnon Securities, Inc. 1982 - 1990
Education
Hofstra University
Bachelor of Business Administration / Finance
TD January 2015 - June 2015
TD December 2013 - January 2015
TD Bank Group February 2012 - December 2013
TD Bank Group December 2010 - February 2012
TD Canada Trust 2009 - December 2010
TD Waterhouse Investor Services 2006 - 2009
TD Waterhouse 2004 - 2006
TD Waterhouse 2000 - 2004
Skills
Recruiting, Change Management, Employee Relations, Banking, Management, Credit, Human Resources, Operations Management, Retail Banking, HR Consulting, Relationship Management, Mortgage Lending, Mutual Funds, Cross Selling, Strategic Communications, Strategic Thinking, Personal Financial..., Stocks, Wealth Management, Employee Engagement, Consumer Lending, Lines Of Credit, Leadership, Customer Experience, Investments, Performance Management, Coaching, Risk Management, Team Leadership, Financial Services
Education
Carleton University 1991 — 1995
BComm, Business
Excess Line Association of New York July 2012 - Present
QBE North America April 2011 - June 2012
A.M. Best Company March 2005 - April 2011
Safeco May 2001 - March 2005
TD Waterhouse Investor Services May 2000 - May 2001
Skills
Insurance, Accounting, Auditing, Finance, Strategic Financial..., Internal Controls, Analysis, Corporate Finance, Mergers & Acquisitions, Financial Analysis, Credit Analysis, Valuation, Asset Management, Forecasting, Due Diligence, Managerial Finance, Banking, Variance Analysis
Education
Rutgers, The State University of New Jersey - Rutgers Business School 2007 — 2012
M.B.A.
Rutgers University-New Brunswick 1996 — 2000
BA
Wawanesa Insurance November 2013 - Present
TD Insurance July 2012 - July 2013
TD Waterhouse Investor Services April 2000 - July 2012
Skills
Mutual Funds, Options, Trading, Bonds, Wealth Management, Foreign Exchange, Fixed Income, Banking, Investments, Derivatives, Credit, Bloomberg, Securities, Customer Service, Equities, Microsoft Excel, Risk Management, PowerPoint
Education
Northern Alberta Institute of Technology / NAIT 1998 — 2000
Business Administration, Finance, General
Red Deer College 1992 — 1994
Rehabilitation Diploma
TD Canada Trust September 2012 - Present
TD Waterhouse December 2007 - September 2012
TD Waterhouse Investor Services March 2004 - November 2007
TD Waterhouse Investor Services September 2000 - March 2004
Skills
Coaching, Presentations, Customer Service, People Management, People Development, Mutual Funds, Management, Securities, Investments, Banking, Fixed Income, Bonds, Options, Wealth Management, Equity Trading, Credit Risk, Equities, Financial Markets, Foreign Exchange, Investment Strategies, FX Options, Options Strategies, Finance, Trading, Bloomberg, Portfolio Management
Education
Northern Alberta Institute of Technology 1998 — 2000
Finance
TD Waterhouse - Private Client Services September 2011 - Present
HSBC Bank Canada September 2010 - September 2011
TD Waterhouse Investor Services June 2008 - September 2010
Skills
Credit Analysis, Banking, Retail Banking, Portfolio Management, Wealth Management, Credit, Investments, Mutual Funds, Mortgage Lending
Education
Eric Hamber Secondary
Simon Fraser University
Auto Care Association September 2012 - Present
Hughes Hubbard & Reed LLP July 2008 - August 2012
Vinson & Elkins LLP September 2007 - July 2008
Willkie Farr & Gallagher LLP May 2005 - December 2006
Safer Foundation August 2003 - August 2004
Ewha American Language School August 2001 - July 2003
TD Waterhouse Investor Services July 2000 - July 2001
City Year Chicago (AmeriCorps) July 1999 - July 2000
Skills
International Trade, Export Controls, Leadership, Customs Regulations, FCPA, Foreign Affairs, Latin America, International Law, Internal Investigations, Corporate Governance, Courts, Joint Ventures, Corporate Law, Anti-corruption, Sanction, Import
Education
The George Washington University Law School 2004 — 2007
JD, Law
Denison University 1995 — 1999
BA, Political Science
Velloe 2013 - Present
Youth in Motion Education Foundation 2008 - 2014
Sunrise Sustainable Energy 2009 - 2013
Loblaw Companies Limited 2007 - 2009
Capco 2006 - 2007
TD Bank Financial Group 2002 - 2005
TD Waterhouse Investor Services 2000 - 2002
TD Bank Financial Group 1997 - 2000
TD Bank Financial Group 1995 - 1997
Information Systems Audit & Control Association (ISACA) 1995 - 1997
Skills
Leadership, Management, Strategic Planning, Product Management, Team Building, Risk Management, Business Strategy, Executive Management, Business Transformation, IT Strategy, Change Management, Program Management, Sales, Vendor Management, Strategy, Process Improvement, Project Planning, Business Development, Entrepreneurship, Management Consulting, Governance, Business Process..., Strategic Partnerships, New Business Development, Negotiation, Talent Management, Outsourcing, Operations Management, Cross-functional Team..., Business Planning, Team Leadership, Service Management, Mergers, Process Engineering, Strategic Thinking, Start-ups, Team Management, Business Optimization, Change Leadership, Process Optimization, Business Management, Organizational Change, Organizational..., Acquisition Integration, Compliance, Performance Management, P&L Management, Leadership Development, Due Diligence, Planning
Education
Queen's University 2003 — 2003
Executive Program, Executive Program
University of Toronto 1982 — 1986
BA, Commerce/Economics/Computer Science
TD Ameritrade December 2008 - Present
Kiwi Mortgage LLC July 2007 - December 2008
T. Rowe Price January 2004 - July 2007
TD Waterhouse Investor Services July 1996 - June 2002
Skills
Series 7, Series 24, Mutual Funds, Wealth Management, Series 63, Sales Management, Retirement Planning, Asset Allocation, FINRA, Investments, Risk Management, Retirement, Strategic Financial..., Financial Advisory, Portfolio Management, Financial Services, Equities, 401k, Uniform Combined State..., Securities, Relationship Management, Investment Advisory, Investment Strategies, Financial Markets, Asset Management, Fixed Income, Series 6, Alternative Investments, Options, Wealth Management..., Bonds, Fixed Annuities, Investment Management, Wealth, Trading, High Net Worth..., ETFs, IRAs, Stocks, Hedge Funds, Life Insurance
Education
Ramapo College of New Jersey
Bachelor's of Science, Business Administration and Management, General
Verizon May 2013 - Present
Verizon Wireless June 2011 - May 2013
Verizon Wireless, HQ June 2005 - June 2011
Verizon Wireless, HQ February 2005 - May 2005
Verizon Wireless June 2001 - January 2005
TD Waterhouse Investor Services April 2000 - April 2001
Skills
Spanish, Purchasing, Inventory Management, Project Management, Strategic Partnerships, Account Management, Wireless, CDMA, Telecommunications, LTE, Mobile Communications, Smartphones, Mobile Devices, Customer Experience, Cross-functional Team..., 3G, Product Management, Product Lifecycle..., 4G, Mobile Technology, Management, Cellular Communications, WCDMA, 3GPP, Product Marketing, Go-to-market Strategy, Managed Services, UMTS, Mobile Internet, GPRS, GSM, Leadership, SMS, Customer Retention, Solutions Marketing, Broadband, VoIP, Vendor Management, Product Development
Education
University of Florida
Master of Arts, Latin American StudiesCenter for Latin American Studies
Rutgers University-New Brunswick
B.A., History/Latin American Studies/Mathematics
Citi June 2013 - Present
Bank of New York Mellon April 2010 - April 2012
Deutsche Bank August 2008 - January 2009
Blaylock & Company September 2006 - March 2007
Citigroup September 2004 - August 2006
TD Waterhouse Investor Services July 2003 - September 2004
Citigroup June 1999 - July 2003
Citigroup August 1997 - June 1999
Skills
Equities, FINRA, Financial Modeling, Series 24, Emerging Markets, Private Equity, Series 63, Series 7, AML, Business Development, Regulations, Securities, Internal Audit, Financial Risk, Mutual Funds, Financial Services, Due Diligence, Hedge Funds, Asset Management, Risk Management, Capital Markets, Financial Advisory, KYC, Investments, Finance, Trading, Wealth Management, Fixed Income, Investment Advisory, Financial Regulation, Options, Derivatives, Alternative Investments, Anti Money Laundering
Education
City University of New York-Brooklyn College
Biology, Biology, Business
James Madison High School
James Madison High School
Kingsborough Community College
Biology, Biology
Enterprise Rent -A- Car August 2006 - Present
TD Waterhouse Investor Services January 1999 - March 2001
Banco De Bogota July 1995 - July 1999
Skills
Employee Relations, Performance Management, Talent Acquisition, Human Resources, Onboarding, Recruiting, Team Building, Employee Engagement, Talent Management, College Recruiting, Employee Benefits, Employee Training, Interviews, Succession Planning, Applicant Tracking...
Education
Universidad Externado de Colombia 1990 — 1995
Finance & International Relations, Finance, Foreign policy, economics, history
TD Securities Technology Solutions December 2011 - Present
TD Securities May 2008 - December 2011
TD Waterhouse March 2005 - May 2008
TD Wealth Management Technology Solutions 2005 - 2008
TD Bank Financial Group January 2000 - March 2005
TD Waterhouse Investor Services November 1997 - January 2000
Standard Chartered Bank Pakistan Limited 1992 - 1995
Skills
Banking, Budgeting, Disaster Recovery, Incident Management, Business Analysis, Business Process..., Risk Management, SDLC, Vendor Management, Process Improvement, People Management, Change Management, Compliance, Access, Analysis, Problem Solving, Microsoft Office, Team Building, IT Management, Testing, Customer Service, User Acceptance Testing, Project Planning, Systems Analysis, Documentation, Coaching, Team Leadership, Solution Design, Business Requirements, Customer Relations, Vendor Relations, Service Management, Business Continuity, IT Operations, Project Implementation, Wealth Management, Software Documentation, Management, Requirements Gathering, Business Process, Requirements Analysis, Team Management, Governance, Information Technology, System Administration, IT Audit, Financial Services, IT Service Management, Project Management, Back Office
Education
Karachi University 1988 — 1992
BComm, Accounting
St. Paul's English High School 1976 — 1987
O'Levels, Accounting
West Loop Auto Body November 2001 - Present
TD Waterhouse Investor Services March 2000 - August 2001
GNC February 1999 - February 2000
Skills
Mutual Funds, Customer Relations, Accounting, Automotive, Collision, Stocks, Stock Market, Automotive Aftermarket, Customer Satisfaction, Automobile, Vehicles, Customer Service, Team Building, Parts, Purchasing, Operations Management, Profit, Negotiation, Sales Management, Automotive Repair, New Business Development, Customer Retention, Warranty, Automotive Parts, Truck, Training, Reynolds, Strategic Planning, Sales Process, Dealer Management, Fleet Management, Auto Body, Dealers, Tires, Sales, Continuous Improvement, I-CAR Platinum, Income Statement, Aftersales, Powertrain, Motorcycle, Motorsports, Automotive Engineering, Racing, P&L, Automotive Electronics, Gross Profit, CCC Pathways, Sales Operations, Pricing
Education
University of Illinois at Urbana-Champaign 1995 — 1998
BA, Sociology (emphasis in Criminology)
Moraine Valley Community College 1993 — 1994
na, General Ed
Prime Real Estate May 2005 - Present
Premier Development April 2006 - Present
Indiana Economic Development Corporation's (IEDC) Small Business Development Center (SBDC) October 2007 - May 2010
Purdue University Calumet January 2001 - October 2007
TD Waterhouse Investor Services July 2000 - November 2001
Skills
Real Estate, Real Estate Development, Economic Development, Fundraising, Entrepreneurship, Corporate Finance, Non-profits, Real Estate Investment, Investment Properties, Property Management, Grants, Sellers, Short Sales, Foreclosures, Real Estate Finance, Residential, Real Estate Transactions, Leases, Construction, Community Development, Public Speaking, Venture Capital, REO, Dispositions, First Time Home Buyers, Zoning, Condos, Realty, Private Equity, Investors, Valuation, Corporate Real Estate, Land Use, Social Entrepreneurship, Relocation, Real Estate Negotiation, Small Business, Program Development, Due Diligence, Residential Homes, Finance, Real Estate Economics, Management, Nonprofits, Marketing, Leadership, Strategic Planning, Disposition, Real Property, Selling
Education
Purdue University 2001 — 2002
MBA, Finance
Purdue University 1997 — 2001
BS, Finance and Economics
Research Based Solutions June 2012 - Present
National Sales Network, Phoenix January 2011 - December 2013
The McKinnis Consulting Group LLC February 2004 - June 2012
PsyMetrics Global 2009 - 2009
National Sales Network 2006 - 2008
TD Waterhouse Investor Services January 1994 - February 2006
TD Waterhouse 1994 - 2004
University of Colorado August 1996 - May 1997
Waterhouse Securities 1994 - 1996
Skills
Sales Management, Sales Process, Direct Sales, Consultative Selling, New Business Development, Increasing Revenue, Lead Generation, Strategic Planning, Leadership Development, Selling, Team Building, Coaching, Business Strategy, Executive Management, Management Consulting, Customer Relations, Executive Coaching, Training, Salesforce.com, Sales, Customer Service, Management, Strategy, Business Development, Start-ups, Strategic Partnerships, Leadership, Business Planning, Marketing Strategy, Small Business, Fundraising
Education
Eastern Illinois University 1987 — 1993
M.A., Economics/Business
Mendel Catholic 1983 — 1987
Fanshawe College August 2014 - Present
London Majors Baseball Corp. March 2004 - Present
Fanshawe College June 2011 - August 2014
Fanshawe College October 2011 - March 2012
Fanshawe College January 2009 - November 2011
Lambton Shores Predators Junior B Hockey Team 2006 - November 2011
The Better Way Lending Company April 2010 - October 2011
TD Waterhouse Investor Services March 2005 - January 2009
Lambeth Lancers Junior D Hockey Team 2006 - 2008
Ontario Mortgage Action Centre March 2002 - March 2005
Skills
Public Speaking, Coaching, Social Media, Event Planning, Customer Service, Marketing, Social Media Marketing, Leadership Development, Fundraising, Event Management, Strategic Planning, Public Relations, Strategic Financial..., Sports, Team Building, Small Business, Staff Development, Non-profits, Team Leadership, Media Relations, Time Management, Management, Nonprofits, Social Networking, Leadership, Marketing Communications, Entrepreneurship, Training, Business Strategy, Strategy, Account Management, Project Planning, Budgets, PowerPoint, Business Development, Advertising, Sponsorship, Sales, Organizational..., Teaching, Business Planning, Online Marketing, New Business Development, Volunteer Management, Research, Teamwork, Marketing Strategy, Project Management, Market Research, Negotiation
Education
Husson University 2013 — 2015
Bachelor of Science (BSc), Business Administration
University of Fredericton 2015 — 2018
Master's degree, Business Administration
LERN 2012 — 2012
Certified Program Planner
Fanshawe College
Business Finance Diploma, Finance
Chesley Ave PS
Scottrade July 2014 - Present
QuantRiver Financial, LLC December 2010 - July 2014
Consultant June 2009 - November 2010
The Capital Group June 2008 - May 2009
optionMONSTER June 2007 - May 2008
ex24, Inc. February 2002 - June 2007
TD Waterhouse Investor Services October 1990 - November 2000
Skills
Equities, Fixed Income, Options, Series 24, Securities, Trading, Risk Management, Electronic Trading, Investments, Portfolio Management, Wealth Management, FINRA, Financial Risk, Hedge Funds, Derivatives, Financial Markets, Equity Trading, Capital Markets, Trading Systems, Financial Services, Series 63
Education
University of Iowa
RBC Wealth Management February 2012 - Present
Sun Life Financial, Edmonton, AB June 2007 - February 2012
BMO Bank of Montreal March 2006 - June 2007
CIBC Imperial Service May 2004 - March 2006
TD Canada Trust February 2003 - May 2004
TD Canada Trust September 2001 - February 2003
TD Waterhouse Investor Services September 2000 - September 2001
Skills
Mutual Funds, Wealth Management, Financial Advisory, Investments, Retirement Planning, Strategic Financial..., Financial Planners, Portfolio Management, Investment Strategies, Financial Services, Finance, Securities, Estate Planning, Financial Planning, High Net Worth..., Investment Advisory, Retirement
Education
University of Alberta 1995 — 2000
BSc., Psychology, Chemistry
University of Alberta 1994 — 1999
Bachelor of Science (BSc), Psychology
Louis St. Laurent High School
Advanced High School Diploma with Honours; Bachelor of Science, Psychology; Chemistry
Heart and Stroke Foundation November 2011 - Present
Start2Finish September 2009 - September 2012
TD Bank November 2008 - May 2011
TD Canada Trust November 2006 - November 2008
TD Canada Trust September 2003 - November 2006
TD Canada Trust June 2002 - September 2003
TD Bank Group January 2001 - June 2002
TD Waterhouse Investor Services June 2000 - January 2001
Canada Trust January 1996 - June 2000
Canada Trust January 1993 - January 1996
Skills
HR strategy and..., Leadership, Performance Management, Management, Strategy, Employee Engagement, Talent Management, Strategic Planning, Change Management, Human Resources, Coaching
Education
University of Toronto - Rotman School of Management 1997 — 1999
MBA, Business Administration, Dean's list
University of Toronto - Rotman School of Management 1996 — 1999
ICD, Not for Profit Governance Essentials
The University of Western Ontario - Richard Ivey School of Business 1980 — 1984
HBA, Business Administration
Triage Data Solutions Inc. 2006 - Present
TD Waterhouse Investor Services 2002 - 2006
Skills
Project Management, Document Management, New Business Development, Business Development, Business Analysis, Sales Management, Account Management, Networking, Risk Management, Strategy, Business Strategy
Education
The University of British Columbia / UBC 2011 — 2014
Award of Achievement in Sustainability Management, Sustainability Management
British Columbia Institute of Technology
Construction Management
British Columbia Institute of Technology 1991 — 1993
Marketing/Sales
Simon Fraser University 1986 — 1991
Bachelor of Applied Science (B.A.Sc.), Communications
Templeton High School 1981 — 1986
TD Direct Investing (TD Waterhouse) April 2014 - Present
TD Direct Investing (TD Waterhouse) May 2011 - April 2014
TD Waterhouse Canada June 2007 - September 2011
TD Waterhouse Investor Services May 2006 - June 2007
TD Waterhouse Investor Services October 1999 - May 2006
Skills
Investments, Fixed Income, Equities, Leadership, Management, Mutual Funds, Team Leadership, New Business Development, Sales, Banking, Microsoft Excel, Relationship Management, Risk Management, Financial Analysis, Trading, Credit, Retail Banking, Finance, Portfolio Management
Education
McGill University 1994 — 1997
Bachelor of Science (B.Sc.), Cell Biology and Anatomy
Civitas Partners October 2010 - May 2015
Merrill Lynch May 2003 - October 2010
TD Waterhouse Investor Services January 2002 - May 2003
Morgan Stanley April 2000 - December 2001
Chase Manhattan Bank August 1999 - April 2000
J.P. Morgan June 1999 - August 1999
Bank of New York May 1998 - August 1998
PNC Bank May 1997 - August 1997
Chase Manhattan Bank May 1996 - August 1996
First USA Bank September 1994 - August 1995
Skills
Financial Modeling, International Business, Executive Management, Investments, Mutual Funds, Fixed Income, Financial Analysis, Equities, Wealth Management, Asset Managment, Portfolio Management, Strategic Financial..., Series 7, Alternative Investments, Securities, Valuation, Bonds, Banking, Asset Management, Credit, Leadership
Education
Delaware State University
Master of Business Administration (M.B.A.), Finance, 3.63 GPA
Investment Banking Institute 2008 — 2008
Certificate, Investment Banking
Delaware State University 1995 — 1999
Bachelor of Science, Business Administration
William Penn High School 1991 — 1994
Diploma, Business
Robert Half Finance & Accounting 2015 - Present
Trader/Financial Analyst January 2010 - 2015
BNP Paribas Fortis 2007 - 2010
Bance IMI Securities 2004 - 2007
Banca IMI Securities 2001 - 2004
TD Waterhouse Investor Services January 2000 - January 2001
Skills
Equities, Capital Markets, Bloomberg, Fixed Income, Financial Analysis, Risk Management, Economic Research, Securities Lending, Security Operations, Sales Management, International Sales, Trading Systems, Trading Strategies, Internal Controls, Derivatives, Foreign Exchange, Swaps, Trade Finance, Settlement Services, Funding, Arbitrage, Cross-border..., Relationship Management, Client Development
Education
James Madison University 1996 — 2000
BBA, Finance
BDO USA, LLP March 2004 - Present
American Stock Transfer & Trust Co. February 2003 - March 2004
TD Waterhouse Investor Services 2000 - 2002
JP Morgan 1999 - 2000
Republic National Bank (Aquired by HSBC) 1997 - 1999
The Chase Manhattan Bank 1993 - 1997
Skills
Risk Management, Auditing, Internal Controls, Internal Audit, Financial Risk, IT Audit, Banking, Capital Markets, Sarbanes-Oxley, Finance, Financial Services, Investments, SAS70, Governance, Business Process, Assurance, Sarbanes-Oxley Act, Financial Reporting
Education
Hofstra University 1996 — 2000
MBA, Finance
Hofstra University 1989 — 1993
BBA, Accounting
LPL Financial February 2001 - Present
Bank of America October 1999 - January 2001
TD Waterhouse Investor Services August 1998 - October 1999
Skills
Series 63, Series 24, Series 7, Operations Management, Trading, Risk Management, Coaching, Problem Solving, Mutual Funds, Process Improvement, Equities, Financial Services, Settlement Services, Corrections, Vendor Management, Project Management, Business Analysis, Broker-Dealer, Investment Strategies, Relationship Management, Options, Equity Trading, Settlement, Series 65, AML, Leadership, Fixed Annuities, Retirement Planning, Financial Planners, Insurance, Budgets, Financial Analysis, Securities Regulation, Investment Advisory, Strategic Financial..., Certified Financial..., Financial Markets, Sarbanes-Oxley Act, Alternative Investments, OFAC, Middle Office, Series 6, Variable Annuities, Capital Markets, Asset Allocation, IRAs, FINRA
Education
Saint John's University - Peter J. Tobin College of Business 1993 — 1998
Bachelor's Degree, Finance
St. John's University 1993 — 1998
Bachelor of Science (B.S.), Finance, General
Citi September 2015 - Present
FINRA November 2006 - September 2015
TD Waterhouse Investor Services September 2000 - May 2006
Skills
Investments, AML, FINRA, Securities Regulation, Capital Markets, OFAC, Series 63, Options, Mutual Funds, Series 7, Series 24, Financial Regulation, Equities, Hedge Funds, Investment Advisory, Due Diligence, Risk Management, Asset Management, Banking, Financial Risk, Trading, Fixed Income, Bank Secrecy Act, Financial Services, Securities, KYC
Education
University of Phoenix 1997 — 1999
Master of Business Administration (MBA)
Merrimack College 1988 — 1992
Bachelor of Science, Marketing
TD October 2014 - Present
TD Bank Group February 2012 - October 2014
TD Bank October 2010 - February 2012
TD Waterhouse Investor Services June 2007 - October 2010
Deloitte September 2005 - June 2007
Global Home Loans June 2003 - September 2005
Deloitte 2002 - June 2003
Arthur Andersen August 1999 - 2002
Skills
Internal Audit, Development Of People, FCCA, Operational Risk..., Corporate Governance, Controls Assurance, Capital Management, Project Coordination, Wealth Management, Retail Banking, IT Audit, CISA, Due Diligence, Audit, Assurance, Internal Controls, Governance, Risk, Financial Risk, Banking, Risk Management, Auditing, Operational Risk, Strategy, Financial Services
Education
The University of Manchester 1995 — 1999
M.Eng, Aerospace Engineering
HELP USA August 2008 - Present
Merrill Lynch August 2006 - August 2008
Smith Barney November 2004 - January 2006
TD Waterhouse Investor Services 2001 - 2004
Skills
Community Outreach, Public Speaking, Corporate Finance, Social Networking, Fundraising, Event Planning, Event Management, Social Media, Microsoft Office, Non-profits, Customer Service, Grant Writing, Research, Training, Program Development, Strategic Planning, Volunteer Management, Microsoft Excel, Nonprofits, Public Relations, Litigation, Corporate Governance, Leadership, Editing, Program Management, Community Development, Outlook, PowerPoint
Education
Seton Hall University 1981 — 1985
BA, Criminal Jusice
DTI LLC September 2012 - Present
Providus 2011 - September 2012
Irelan * Hargis, P.L.L.C. October 2010 - August 2011
Texas DPS October 2009 - October 2010
Office of the Attorney General August 2007 - August 2008
Brown & Carls May 2005 - August 2007
TD Waterhouse Investor Services January 2000 - January 2002
Hearst Book Group June 1998 - January 2000
Skills
Litigation, Legal Research, Document Review, Administrative Law, Staffing Services, Litigation Support, Licensing, Courts, Corporate Law, Recruiting, Legal Writing, Appeals, Intellectual Property, Legal Advice, Legal Assistance
Education
The University of Texas School of Law 2002 — 2005
University of Notre Dame 1994 — 1998
BA, English, Art History
Plano
Ubiquity Retirement + Savings July 2010 - Present
Internal Revenue Service January 2010 - July 2010
Albiar Financial, Inc. January 2007 - September 2008
TD Waterhouse Investor Services July 2002 - December 2005
Charles Schwab May 2000 - July 2002
Skills
Retirement Planning, ERISA, Retirement, Retirement Plan..., 401k, Insurance, Management, Small Business, Finance, Analysis, Wealth Management, CRM, Investments, Employee Benefits, Portfolio Management, Mutual Funds, Strategic Financial..., Financial Planning, Securities, Financial Analysis, Financial Services, Life Insurance, Asset Allocation, Microsoft Office, Relationship Management, Financial Risk
Education
St. Edward's University
Master of Business Administration (MBA) Candidate, Finance
Texas Tech University
Bachelors, Economics
Investors Group Financial Services Inc. 2000 - Present
TD Waterhouse Investor Services 1990 - 2000
Skills
Strategic Financial..., Retirement Planning, Investments, Estate Planning, Retirement, Portfolio Management, Financial Planners, Securities, Risk Management, Financial Services, Wealth, Tax, High Net Worth..., Employee Benefits, Pensions, Mutual Funds, Finance, Wealth Management, Investment Strategies, Financial Advisory, Financial Planning
Education
Carleton University
B.Comm Hon.
Glen Rock Board of Education October 2005 - June 2007
TD Waterhouse Investor Services September 1999 - March 2002
Barnes & Noble May 1997 - September 1999
Barnes & Noble May 1995 - May 1997
Barnes & Noble, Inc. May 1993 - May 1995
Skills
TCP/IP, Windows Server, Servers, DNS, Troubleshooting, Microsoft Exchange, DHCP, Data Center, System Administration, Visio, Technical Support, Windows, Software Installation, Hardware, Networking
Education
McGill University 1989 — 1993
BSc, Biology
IPP of America, Inc. 2006 - 2007
Redcats USA 2004 - 2005
TD Waterhouse Investor Services 2000 - 2002
CIBC World Markets 1994 - 2000
Under Contract to Financial Institutions 1993 - 1994
Securities Industry Automation Corporation (SIAC) 1990 - 1993
Under Contract to Defense Contractors 1982 - 1990
Harris Corporation, PRD Electronics Division 1977 - 1982
Education
City University of New York City College
BS
Deutsche Bank December 2006 - October 2007
TD Waterhouse June 2005 - May 2006
TD Waterhouse December 2003 - June 2005
Brokerage America, Inc May 2001 - November 2002
JPMorgan Chase May 2000 - April 2001
TD Waterhouse Investor Services March 1998 - May 2000
Skills
Equities, Customer Service, Corporate Actions, Options, Trading, Financial Services, Securities, Banking, Call Centers, Risk Management, Bonds, Investments, Financial Markets, Back Office, Bloomberg, Microsoft Office, Wealth Management
Education
University of Miami 2015 — 2015
Undergraduate Certificate in Healthcare Advocacy (completed September, 2015), Healthcare Advocacy Certificate Program
Lehman College 1991 — 1994
Bachelor of Arts, Communications w/ Economics minor
Saint John's University 1988 — 1991
Business Administration
Humber College September 2012 - Present
Humber College January 2001 - August 2012
TD Waterhouse Investor Services December 1999 - September 2002
Seneca College of Applied Arts and Technology August 2000 - December 2000
Humber College May 1997 - December 1999
Centennial College August 1994 - December 1998
Skills
Research, Higher Education, Editing, Microsoft Office, Public Speaking, Teaching, Curriculum Design, Curriculum Development, University Teaching, Adult Education, English, E-Learning, Student Affairs, Lecturing
Education
University of Guelph 1986 — 1990
M.A., English Literature and Critical Theory
University of Guelph 1981 — 1986
B.A., Microbiology; English Literature
St. Andrew's College 1976 — 1981
Grade 13
Sony Corporation of America June 2011 - April 2014
Eisai May 2009 - May 2011
FTI Consulting March 2006 - February 2009
HIP Health Plan of New York August 2002 - March 2006
Kroll July 2001 - April 2002
TD Waterhouse Investor Services June 2000 - July 2001
Dow Jones and Company 1996 - 2000
State of New Jersey May 1993 - May 1996
Skills
Computer Forensics, Information Security, Security, Litigation Support, Forensic Analysis, Litigation, Information Security..., Disaster Recovery, CISSP, Computer Security, PCI DSS, Vulnerability Assessment, Network Security, Security Audits, eDiscovery, Incident Response, Compliance, CISA, CIFI, CISM, Vulnerability Management, Threat & Vulnerability...
Education
Rider University 1988 — 1992
Bachelor of Science (B.S.), Computer Information Systems and Accounting
DJJDP System administrator / QC AnalystTDWaterhouse1998 - 2002
TD Waterhouse Investor Services 1998 - 2002
TD Ameritrade 1998 - 2002
Education
The University of Sheffield 1989 — 1995
Boehringer Ingelheim Pharmaceuticals January 2006 - Present
Smith Barney/Citigroup Global Markets June 2005 - January 2006
TD Waterhouse Investor Services April 2004 - January 2005
TD Waterhouse Investor Services September 2000 - April 2004
Skills
Pharmaceutical Sales, Cardiology, Pharmaceutical Industry, Sales Effectiveness, Urology, Pulmonology, Product Launch, Managed Care
Education
University of California, San Diego 1995 — 2000
Bachelor of Arts (B.A.), Cultural Anthropology
BlackRock 2012 - Present
BlackRock 2009 - 2012
BlackRock 2007 - 2009
BlackRock 2003 - 2007
Flagship Capital Management 2002 - 2003
TD Waterhouse Investor Services July 1991 - March 2002
Skills
Fixed Income, Asset Allocation, ETFs, Hedge Funds, Series 7, Alternative Investments, Mutual Funds, Equities, Asset Management, Series 63, Financial Services, Investments, Relationship Management, SDLC, Investment Management, Investment Strategies, Securities
Education
Penn State University 1995 — 1997
Master of Business Administration (MBA), Business Administration and Management
Penn State University 1987 — 1990
Bachelor of Arts (B.A.), Liberal Arts/Finance/Management
Experis April 2015 - Present
Guggenheim Partners April 2013 - March 2015
Edward a Hlavach, CPA January 1990 - June 2013
Newbold Advisors February 2012 - March 2013
Freddie Mac April 2009 - February 2012
ICMA-RC 2008 - 2008
DOW JONES & COMPANY, INC 2004 - 2008
Jackson Township, NJ January 1999 - December 2006
TD Waterhouse Investor Services October 1999 - September 2004
depository trust company 1989 - 1999
Skills
Leadership, Process Improvement, Risk Management, Accounting, Management Consulting, Banking, Financial Services, Portfolio Management, Executive Management, Internal Audit, Finance, Enterprise Risk..., Mergers & Acquisitions, Business Process..., Due Diligence, Quality Assurance, Auditing, Financial Modeling, Financial Risk, Business Analysis, Financial Analysis, Internal Controls
Education
Montclair State University 1983 — 1987
General Dynamics Information Technology February 2013 - Present
General Dynamics Information Technology February 2012 - February 2013
General Dynamics Information Technology April 2010 - February 2012
Vigilant, Inc. March 2008 - December 2009
Depository Trust and Clearing Corporation May 1999 - March 2008
TD Waterhouse Investor Services January 1997 - May 1999
American Stock Exchange February 1995 - January 1997
Skills
Disaster Recovery, SDLC, Business Analysis, Security, Project Management
Education
Capella University
Information Technology/Project Management
Carnegie Mellon University
Capability Maturity Model Integrated (CMMI)
New York University
Project Management
Citi August 2005 - Present
TD Waterhouse Investor Services 2000 - 2005
Bear Stearns October 1991 - April 2000
Crossland Savings, FSB August 1989 - September 1991
Skills
Recruiting, Mutual Funds, Financial Services, Human Resources, Derivatives, Talent Acquisition, Hedge Funds, Talent Management, Banking, Securities, AML, Risk Management, Asset Management, Onboarding, Employee Relations, Equities, Applicant Tracking..., Leadership Development, Series 7, Fixed Income, Performance Management, Financial Risk, Capital Markets, Succession Planning, Financial Recruiting, Credit
Education
City University of New York 1985 — 1989
MBA, Industrial and Organizational Psychology
Hofstra University 1980 — 1985
Bachelor of Arts (BA), Psychology
TD Waterhouse Investor Services
Skills
Capital Markets, Investments, Options Strategies, Banking, Management, Fixed Income, Derivatives, Mutual Funds, Retail Banking, Wealth Management
Education
Carleton University 1984 — 1987
HSBC Securities February 2012 - Present
Brody Consulting Corp March 2011 - March 2012
Nasdaq May 2002 - January 2011
NASDAQ December 2005 - January 2008
INET ATS November 2003 - December 2005
Island ECN May 2002 - November 2003
TD Waterhouse Investor Services 1997 - 2002
United States Navy 1990 - 1994
Skills
Dodd Frank SEF CCP, Operations Management, Risk Management, Operations, Series 7, Equities, Derivatives, Options, Trading, OTC Swaps, Clearing, Regulatory Affairs, Change Management, Exchanges, Heas of Operations, Interest Rate Swaps, Swaptions, FX Swaps, Strategic Planning, Futures, listed derivaties, Senior Stakeholder..., Stock Exchange, options exchanges, Executive Management, Marketing Operations, Capital Market..., Capital Markets, Banking, Business Strategy, Trading Systems, Financial Risk, Swaps, Mutual Funds, Financial Markets, Financial Services, Fixed Income, Management, Microsoft Exchange, Staff Development
Education
St. Francis College
Finance
Xaverian High School
Charles Schwab October 2014 - Present
Albridge, an Affiliate of Pershing February 2005 - July 2014
TD Waterhouse Investor Services January 2003 - February 2005
Skills
Treasury, Portfolio Management, Financial Services, Relationship Management, Mutual Funds, Equities, Fixed Income, Bonds, Investments, Series 7, Wealth Management, Requirements Gathering, Financial Advisory, CRM, Securities, Asset Management, Series 63, Retirement Planning
Education
Rutgers University-New Brunswick 1995 — 1999
Bachelor's Degree, Economics
CDS Clearing and Depository Services Inc October 2005 - Present
TD Waterhouse March 2003 - October 2005
TD Waterhouse Investor Services June 1999 - March 2003
Education
Concordia University 1995 — 1998
Finace, Bachelor of Commerce
TD May 2014 - Present
TD Bank May 2009 - Present
TD Bank January 2007 - May 2009
TD Waterhouse Investor Services January 2006 - January 2007
TD Canada Trust December 2004 - January 2006
CIBC Wealth Management June 2003 - December 2003
Skills
Credit, Retail Banking, Wealth Management, Relationship Management, Banking, Loans, Securities, Mortgage Lending, Strategic Financial..., Mutual Funds, Investment Strategies, Financial Analysis, Investments, Credit Analysis, Commercial Banking, Risk Management, Portfolio Management
Education
Concordia University 1999 — 2002
Bachelor of Arts, double major: Journalism, Political Science
CEGEP - John Abbott College 1997 — 1999
Liberal Arts
college sainte marcelline 1992 — 1997
High School Diploma
RBC Wealth Management June 2011 - Present
BMO Nesbitt Burns August 2005 - June 2011
TD Waterhouse Investor Services September 1999 - August 2003
Skills
Program Management, Product Development, Marketing, Portfolio Management, ETFs, Mutual Funds, Wealth Management, Wealth Management..., Relationship Management, Fixed Income, Managing Accounts, Equities, Options, Asset Allocation, Investment Advisory
Education
Keio University 2004 — 2005
MBA, Marketing
York University - Schulich School of Business 2003 — 2005
MBA, Marketing
University of Toronto - Victoria University 1995 — 1999
Hons B.A., Economics Specialist
Bunce Industries, LLC January 2014 - Present
Ritchie Bros. Auctioneers July 2012 - December 2013
Bunce Industries-New England Positioning Systems July 1995 - July 2012
TD Waterhouse Investor Services April 1993 - October 1994
Skills
Microsoft Word, CRM, Leadership, Sales, Sales Operations, Training, Marketing
Education
University of Massachusetts at Lowell 2010 — 2012
MBA, Business
Westfield State University 1988 — 1992
BS, Business Management
Melrose High
StockCross Financial Services, Inc. January 2007 - Present
TD Waterhouse Investor Services November 1997 - December 2006
Skills
Series 7, Securities, Fixed Income, Equities, Series 63, Capital Markets, Mutual Funds, Series 24, ETFs, Investments, Portfolio Management, Bonds, Wealth Management, Retirement Planning, Asset Allocation, Estate Planning, Alternative Investments, Investment Strategies, Investment Advisory, Series 65, Uniform Combined State..., Asset Management, Retirement, Financial Services, Management
Education
California State University-Northridge 1980 — 1983
BA, Business Administration
State University of New York at Buffalo 1975 — 1977
Prudential Financial August 2006 - March 2009
Nomura Securities International November 2004 - August 2006
TD Waterhouse Investor Services June 2001 - November 2004
TD Waterhouse Investor Services August 2000 - June 2001
AT&T June 1995 - August 1999
Skills
Account Reconciliation, Corporate Actions
Education
Penn State University 1995 — 2000
Bachelors, Management
NASDAQ November 2013 - Present
NASDAQ OMX June 2012 - November 2013
NASDAQ March 2008 - June 2012
NASDAQ April 2007 - March 2008
NASDAQ April 2006 - April 2007
NASDAQ September 2004 - April 2006
Brut ECN July 2003 - September 2004
Randstad/Merrill Lynch November 2002 - July 2003
TD Waterhouse Investor Services March 1999 - August 2001
Skills
Options, Trading Systems, Equities, Electronic Trading, Financial Markets, Equity Trading, Derivatives, Trading, Capital Markets, Market Data, Series 7, Securities, Hedge Funds, Equity Derivatives, Bloomberg, FINRA, Series 63, Series 24, SEC, Long-term Customer..., Market Regulation, Financial Regulation, Technology Solutions, Series 4
Education
Rutgers, The State University of New Jersey-New Brunswick 2007 — 2011
MBA, Management and Business Strategy
Rutgers, The State University of New Jersey-New Brunswick 1994 — 1998
BA, Economics and English (double major)
Fiserv October 2010 - Present
Goldman Sachs August 2001 - October 2010
Spear, Leeds & Kellog December 1998 - August 2001
Invengen March 1997 - November 1998
TD Waterhouse Investor Services March 1996 - 1997
Kuroda & Co. February 1990 - April 1996
Skills
Trading Systems, Exchange Connectivity, Electronic Trading, Market Data, Low Latency
Education
City University of New York City College
BS, Computer Science
Scotia Capital March 2006 - Present
TD Waterhouse Investor Services September 1999 - March 2006
TD Securities Inc January 1993 - September 1999
Education
Seneca College of Applied Arts and Technology 1992 — 1993
legal assistant programme
TD Wealth Management May 2014 - Present
TD Wealth Management December 2012 - May 2014
TD Waterhouse Investor Services September 2009 - November 2012
TD Bank Group May 2008 - August 2009
Skills
Mutual Funds, Banking, Finance, Wealth Management, Credit, Management, Financial Analysis, Equities, Investments, Investment Strategies
Education
Concordia University 2001 — 2005
B.A, Major Economics
U.S. Trust April 2014 - Present
Arden Asset Management March 2013 - April 2014
Lazard March 2010 - March 2013
Citi September 2006 - March 2010
Bear Stearns & Co June 2005 - August 2006
TD Waterhouse Investor Services February 2004 - June 2005
AIG Advisor Group April 1999 - February 2004
Skills
Investment Advisers Act, Investments, Alternative Investments, Asset Management, Compliance, financial services, Investment Company Act, UCITS, Securities Regulation, Banking, Series 7, Series 24, Series 53, Series 4, Regulatory Requirements
Education
Stony Brook University 1990 — 1995
Bachelor's Degree, Multi-/Interdisciplinary Studies, concentrations in Business and History