UVEST Financial Services
Description
Address: 2810 Coliseum Centre Dr, Charlotte, NC 28217 Phone: (800) 277-8802: Website: : Category: : : : Hours: Place name: : Website: http://uvest.com/ Category: Corporate office Suggest an editUnable to add this file. Please check that it is a valid photo. Unable to add this file. Please check that it is a valid photo. · Own this business?Add missing informationAdd business hours Unable to add this file. Please check that it is a valid photo. Questions & answers Ask a questionBe the first to ask a question Add a photoThanks for sharing!Your photo will be posted publicly on Google.Contribute MoreDoneUpload public photos of UVEST Financial Services Posting publicly on the Web Write a review Reviews Be the first to review
UVEST Financial Services List of Employees There's an exhaustive list of past and present employees! Get comprehensive information on the number of employees at UVEST Financial Services. You can filter them based on skills, years of employment, job, education, department, and prior employment.
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UVEST Financial Services Employees
Employee
Years
Job
Industry
Bill Moertel Bill Moertel's UVEST Financial Services Experience March 2005 - September 2006
Job Director, eCommerce sales
Industry Construction
Experience
Sunbelt Rentals, Inc. August 2015 - Present
Sunbelt Rentals September 2006 - August 2015
UVEST Financial Services March 2005 - September 2006
Sunbelt Rentals 2001 - March 2005
Hertz Equipment Rental 1995 - 2000
Skills
Project Management, Continuous Improvement, Team Building, Strategic Planning, Contract Negotiation, Operations Management, Sales Management, Budgets, Negotiation, New Business Development, Team Leadership, Contract Management, Sales, Project Planning, Organizational..., Leadership, Customer Service, Account Management, Training, Human Resources, Recruiting, Sales Operations, Strategy, Business Planning, CRM, Business Strategy, Employee Training, Sales Presentations, Business Process..., Business Analysis, Customer Satisfaction, Product Management, Leadership Development, Purchasing, Business Development
Education
Slippery Rock University of Pennsylvania 1988 — 1993
BA, History
Sunbelt Rentals, Inc. August 2015 - Present
Sunbelt Rentals September 2006 - August 2015
UVEST Financial Services March 2005 - September 2006
Sunbelt Rentals 2001 - March 2005
Hertz Equipment Rental 1995 - 2000
Skills
Project Management, Continuous Improvement, Team Building, Strategic Planning, Contract Negotiation, Operations Management, Sales Management, Budgets, Negotiation, New Business Development, Team Leadership, Contract Management, Sales, Project Planning, Organizational..., Leadership, Customer Service, Account Management, Training, Human Resources, Recruiting, Sales Operations, Strategy, Business Planning, CRM, Business Strategy, Employee Training, Sales Presentations, Business Process..., Business Analysis, Customer Satisfaction, Product Management, Leadership Development, Purchasing, Business Development
Education
Slippery Rock University of Pennsylvania 1988 — 1993
BA, History
Lori Quinn Lori Quinn's UVEST Financial Services Experience February 2001 - May 2003
Job SaaS Implementation Manager at RegEd
Industry Insurance
Experience
RegEd May 2015 - Present
Wells Fargo October 2012 - March 2015
Wells Fargo Insurance Services 2003 - July 2012
UVEST Financial Services February 2001 - May 2003
Transamerica 1995 - 2000
Skills
Insurance, Health Insurance, Brokers, Variable Annuities, Fixed Annuities, Operations Management, Mergers, Aquisition, Customer Service, Microsoft Excel, Microsoft Word, Notary Public, Risk Management, Training, Account Management, Employee Benefits, Mergers & Acquisitions, Coaching, Financial Services, Sales, Call Centers, Management, Relationship Management, Team Building, Change Management
Education
Berkshire Community College
Associate of Science (A.S.), Computer Science
RegEd May 2015 - Present
Wells Fargo October 2012 - March 2015
Wells Fargo Insurance Services 2003 - July 2012
UVEST Financial Services February 2001 - May 2003
Transamerica 1995 - 2000
Skills
Insurance, Health Insurance, Brokers, Variable Annuities, Fixed Annuities, Operations Management, Mergers, Aquisition, Customer Service, Microsoft Excel, Microsoft Word, Notary Public, Risk Management, Training, Account Management, Employee Benefits, Mergers & Acquisitions, Coaching, Financial Services, Sales, Call Centers, Management, Relationship Management, Team Building, Change Management
Education
Berkshire Community College
Associate of Science (A.S.), Computer Science
Anita Rachu Anita Rachu's UVEST Financial Services Experience April 2006 - June 2010
Job Wealth Investment Assistant IV at Johnson Bank
Industry Financial Services
Experience
Johnson Bank 2014 - Present
Northwestern Mutual October 2013 - April 2014
undisclosed May 2012 - October 2013
Financial Fiduciaries LLC August 2011 - May 2012
UVEST Financial Services April 2006 - June 2010
Mid-Wisconsin Bank September 2001 - June 2010
Wayne Hummer Asset Management January 2002 - April 2006
Wayne Hummer Asset Management 2002 - 2005
Community Bank of Central Wisconsin 1999 - 2001
Thrivent Financial for Lutherans January 1992 - July 1995
Skills
Insurance, Compliance, Banking, Securities, Microsoft Office, Vendor Management, Customer Relations, Word, Excel, Customer Service, Outlook, Retirement Planning, Retirement, Mutual Funds, Wealth Management, Risk Management, Management, Asset Management, Team Building, Training, Financial Services, Microsoft Excel, Microsoft Word, Investments
Education
Lakeland College 2006 — 2011
BA, Business Management
North Central Technical College 2007 — 2010
Associates, Business Management
Abbotsford High School
Diploma, General Business
Johnson Bank 2014 - Present
Northwestern Mutual October 2013 - April 2014
undisclosed May 2012 - October 2013
Financial Fiduciaries LLC August 2011 - May 2012
UVEST Financial Services April 2006 - June 2010
Mid-Wisconsin Bank September 2001 - June 2010
Wayne Hummer Asset Management January 2002 - April 2006
Wayne Hummer Asset Management 2002 - 2005
Community Bank of Central Wisconsin 1999 - 2001
Thrivent Financial for Lutherans January 1992 - July 1995
Skills
Insurance, Compliance, Banking, Securities, Microsoft Office, Vendor Management, Customer Relations, Word, Excel, Customer Service, Outlook, Retirement Planning, Retirement, Mutual Funds, Wealth Management, Risk Management, Management, Asset Management, Team Building, Training, Financial Services, Microsoft Excel, Microsoft Word, Investments
Education
Lakeland College 2006 — 2011
BA, Business Management
North Central Technical College 2007 — 2010
Associates, Business Management
Abbotsford High School
Diploma, General Business
Lee Morgan Lee Morgan's UVEST Financial Services Experience May 2006 - June 2010
Job Day Trader
Industry Investment Management
Experience
Self Employed October 2014 - Present
Best Version Media July 2014 - February 2015
North Star Marketing September 2013 - December 2013
Bankers Life and Casualty Company March 2005 - May 2013
ProEquities, Inc. July 2010 - April 2013
UVEST Financial Services May 2006 - June 2010
Skills
Marketing Communications, Cross-functional Team..., Cross Selling, Sales Management, Salesforce.com, High-Impact Sales..., Sales, Networking, Sales Presentations, Direct Sales, Social Media Marketing, Email Marketing, Marketing Strategy, Brainshark, Thinking Outside The Box, Advertising, Interactive Advertising, Lead Generation, Direct Mail Campaigns, Educational Leadership, Thought Leadership, Microsoft Office, Mac OS, Investment Strategies, Alternative Investments, Hootsuite, Twitter, LinkedIn, Pinterest, Facebook Marketing, Market Research, Public Speaking, Target Marketing, Behavioral Marketing, Segmentation, Customer Segmentation..., Target Segmentation, Behavioral Segmentation, Value Propositions, B2B Marketing Strategy, Growth Strategies, Product Lifecycle..., Driving Growth, Positioning, Customer Engagement, Data Management, Pitching Ideas, Brand Awareness, Market Analysis, Out Of the Box
Education
Cornell University - Johnson Graduate School of Management 2013 — 2014
✍ Master of Business Administration (MBA), ✍ Business, Management, Marketing, and Related Support Services
Roger Williams University 2001 — 2004
✍ Bachelor of Arts (BA), ✍ Psychology
Southern Connecticut State University 1999 — 2000
General Studies, Undeclared
Watertown High School 1995 — 1999
High School Diploma
Self Employed October 2014 - Present
Best Version Media July 2014 - February 2015
North Star Marketing September 2013 - December 2013
Bankers Life and Casualty Company March 2005 - May 2013
ProEquities, Inc. July 2010 - April 2013
UVEST Financial Services May 2006 - June 2010
Skills
Marketing Communications, Cross-functional Team..., Cross Selling, Sales Management, Salesforce.com, High-Impact Sales..., Sales, Networking, Sales Presentations, Direct Sales, Social Media Marketing, Email Marketing, Marketing Strategy, Brainshark, Thinking Outside The Box, Advertising, Interactive Advertising, Lead Generation, Direct Mail Campaigns, Educational Leadership, Thought Leadership, Microsoft Office, Mac OS, Investment Strategies, Alternative Investments, Hootsuite, Twitter, LinkedIn, Pinterest, Facebook Marketing, Market Research, Public Speaking, Target Marketing, Behavioral Marketing, Segmentation, Customer Segmentation..., Target Segmentation, Behavioral Segmentation, Value Propositions, B2B Marketing Strategy, Growth Strategies, Product Lifecycle..., Driving Growth, Positioning, Customer Engagement, Data Management, Pitching Ideas, Brand Awareness, Market Analysis, Out Of the Box
Education
Cornell University - Johnson Graduate School of Management 2013 — 2014
✍ Master of Business Administration (MBA), ✍ Business, Management, Marketing, and Related Support Services
Roger Williams University 2001 — 2004
✍ Bachelor of Arts (BA), ✍ Psychology
Southern Connecticut State University 1999 — 2000
General Studies, Undeclared
Watertown High School 1995 — 1999
High School Diploma
Wes Hallman Wes Hallman's UVEST Financial Services Experience 2000 - 2006
Job Mortgage Loan Officer at Corridor Mortgage Group, Inc
Industry Banking
Experience
Corridor Mortgage Group, Inc February 2015 - Present
Premier Commercial Bank July 2012 - Present
First Citizens Bank May 2011 - July 2012
Dover Mortgage Company September 2007 - May 2011
Wells Fargo Home Mortgage September 2006 - September 2007
Countrywide Home Loans February 2006 - September 2006
LPL Financial (formerly UVEST Financial Services) June 2000 - February 2006
UVEST Financial Services 2000 - 2006
Skills
Mortgage Lending, FHA, Mortgage Banking, USDA, Refinance, Government Loans, Loan Origination, VA loans, Residential Mortgages, Loans, Certified Mortgage..., Mortgage Marketing, Construction Loans, Mortgage Underwriting, Credit, Commercial Lending, Underwriting, FHA financing, Consumer Lending, Credit Analysis, Funding, Real Estate Financing, Investment Properties, Commercial Mortgages, First Time Home Buyers, Loss Mitigation, Reverse Mortgages, Small Business Lending, Mortgage Servicing, Banking, Credit Risk, Home Equity Loans, Home Equity Lines of..., Financial Structuring, Rates, Real Estate Economics, Lines Of Credit, Branch Management, Debt Consolidation, Commercial Banking, Home Equity, Real Estate, Cross Selling, Asset Based Lending, REO, Loan Servicing, Default, Referrals, Wholesale Lending, Finance
Education
University of North Carolina at Chapel Hill 1980 — 1984
BS, Industrial Relations
Rock Hill High School 1977 — 1980
Corridor Mortgage Group, Inc February 2015 - Present
Premier Commercial Bank July 2012 - Present
First Citizens Bank May 2011 - July 2012
Dover Mortgage Company September 2007 - May 2011
Wells Fargo Home Mortgage September 2006 - September 2007
Countrywide Home Loans February 2006 - September 2006
LPL Financial (formerly UVEST Financial Services) June 2000 - February 2006
UVEST Financial Services 2000 - 2006
Skills
Mortgage Lending, FHA, Mortgage Banking, USDA, Refinance, Government Loans, Loan Origination, VA loans, Residential Mortgages, Loans, Certified Mortgage..., Mortgage Marketing, Construction Loans, Mortgage Underwriting, Credit, Commercial Lending, Underwriting, FHA financing, Consumer Lending, Credit Analysis, Funding, Real Estate Financing, Investment Properties, Commercial Mortgages, First Time Home Buyers, Loss Mitigation, Reverse Mortgages, Small Business Lending, Mortgage Servicing, Banking, Credit Risk, Home Equity Loans, Home Equity Lines of..., Financial Structuring, Rates, Real Estate Economics, Lines Of Credit, Branch Management, Debt Consolidation, Commercial Banking, Home Equity, Real Estate, Cross Selling, Asset Based Lending, REO, Loan Servicing, Default, Referrals, Wholesale Lending, Finance
Education
University of North Carolina at Chapel Hill 1980 — 1984
BS, Industrial Relations
Rock Hill High School 1977 — 1980
Jean Elzayek Jean Elzayek's UVEST Financial Services Experience September 2008 - 2010
Job Vice President. LPL General Securities Principal
Industry Financial Services
Experience
LPL Financial -Financial Resources Group June 2014 - Present
Merrill Lynch July 2011 - June 2014
LPL Financial January 2010 - July 2011
UVEST Financial Services September 2008 - 2010
E*Trade Financial April 2007 - July 2008
E*TRADE Financial August 2006 - April 2007
E*TRADE Financial May 2003 - August 2006
Skills
Financial Services, Leadership, Securities, Call Centers, FINRA, Series 7, Series 63, Management, Trading, Insurance, Training, Outsourcing, Process Improvement, Fraud, Financial Risk, Team Leadership, Call Center
Education
University of California, Davis 1994 — 1998
BS, Economics and International Relations
LPL Financial -Financial Resources Group June 2014 - Present
Merrill Lynch July 2011 - June 2014
LPL Financial January 2010 - July 2011
UVEST Financial Services September 2008 - 2010
E*Trade Financial April 2007 - July 2008
E*TRADE Financial August 2006 - April 2007
E*TRADE Financial May 2003 - August 2006
Skills
Financial Services, Leadership, Securities, Call Centers, FINRA, Series 7, Series 63, Management, Trading, Insurance, Training, Outsourcing, Process Improvement, Fraud, Financial Risk, Team Leadership, Call Center
Education
University of California, Davis 1994 — 1998
BS, Economics and International Relations
Michelle Broome Michelle Broome's UVEST Financial Services Experience December 2005 - December 2011
Job Sr. Compliance Specialist, Registration & Licensing, LPL Financial
Industry Financial Services
Experience
LPL Financial ( Linsco/Private Ledger ) 2005 - Present
LPL Financial December 2004 - Present
UVEST Financial Services December 2005 - December 2011
Community Outreach Team July 2005 - December 2007
UVEST Financial Services December 2004 - December 2005
UVEST Financial Services December 2004 - December 2005
Dixon Academy May 2003 - November 2004
Krispy Kreme Doughnut Corporation December 2001 - April 2003
Caribou Coffee Company April 2000 - December 2001
Skills
Leadership, Research, Training, Payroll, Databases, Insurance, Series 7, Outlook, Securities, Mutual Funds, Customer Service, Microsoft Excel
Education
University of North Carolina at Charlotte 1995 — 1998
Bachelor of Arts, Spanish
Universidad Complutense de Madrid 1995 — 1995
Spanish
University of North Carolina at Greensboro 1994 — 1995
Bachelor of Arts (B.A.), Spanish
LPL Financial ( Linsco/Private Ledger ) 2005 - Present
LPL Financial December 2004 - Present
UVEST Financial Services December 2005 - December 2011
Community Outreach Team July 2005 - December 2007
UVEST Financial Services December 2004 - December 2005
UVEST Financial Services December 2004 - December 2005
Dixon Academy May 2003 - November 2004
Krispy Kreme Doughnut Corporation December 2001 - April 2003
Caribou Coffee Company April 2000 - December 2001
Skills
Leadership, Research, Training, Payroll, Databases, Insurance, Series 7, Outlook, Securities, Mutual Funds, Customer Service, Microsoft Excel
Education
University of North Carolina at Charlotte 1995 — 1998
Bachelor of Arts, Spanish
Universidad Complutense de Madrid 1995 — 1995
Spanish
University of North Carolina at Greensboro 1994 — 1995
Bachelor of Arts (B.A.), Spanish
Brian Tevlin Brian Tevlin's UVEST Financial Services Experience May 2005 - October 2011
Job Trust & Financial Management
Industry Banking
Experience
Citizens & Northern Bank May 2005 - Present
C&N Investment Services October 2011 - Present
UVEST Financial Services May 2005 - October 2011
First Investors Corporation June 1998 - May 2005
Education
Liberty University 2010 — 2015
Bachelor’s Degree, Business Administration and Management, General
Linden High School 1992 — 1996
Citizens & Northern Bank May 2005 - Present
C&N Investment Services October 2011 - Present
UVEST Financial Services May 2005 - October 2011
First Investors Corporation June 1998 - May 2005
Education
Liberty University 2010 — 2015
Bachelor’s Degree, Business Administration and Management, General
Linden High School 1992 — 1996
Eric Henson's UVEST Financial Services Experience May 2005 - September 2006
Job Training Coordinator / Technical Support / Engineered Systems at Fall Safe USA
Industry Military
Experience
Fall Safe USA July 2015 - Present
United Rentals January 2014 - Present
USARCENT / HHBN September 2012 - December 2013
RideNow Powersports September 2010 - September 2012
Force Protection Industries 2009 - 2010
U.S. Army Reserve February 2008 - April 2009
UVEST Financial Services May 2005 - September 2006
Prudential Financial December 2003 - April 2005
D.O. Creasman Co., Inc. November 1987 - November 2003
Skills
Army, Budgets, Customer Service, Inventory Control, Inventory Management, Military, Military Experience, Security Clearance, Team Building, Operations Management, Logistics, Supervisory Skills, Training, Leadership, Command, Sales, Force Protection
Education
University of North Carolina at Asheville 1988 — 1999
Bachelor of Arts (BA), History
Enka High School 1981 — 1985
Fall Safe USA July 2015 - Present
United Rentals January 2014 - Present
USARCENT / HHBN September 2012 - December 2013
RideNow Powersports September 2010 - September 2012
Force Protection Industries 2009 - 2010
U.S. Army Reserve February 2008 - April 2009
UVEST Financial Services May 2005 - September 2006
Prudential Financial December 2003 - April 2005
D.O. Creasman Co., Inc. November 1987 - November 2003
Skills
Army, Budgets, Customer Service, Inventory Control, Inventory Management, Military, Military Experience, Security Clearance, Team Building, Operations Management, Logistics, Supervisory Skills, Training, Leadership, Command, Sales, Force Protection
Education
University of North Carolina at Asheville 1988 — 1999
Bachelor of Arts (BA), History
Enka High School 1981 — 1985
Frank Smith's UVEST Financial Services Experience 2005 - 2010
Job Vice President, Business Development & Advisor Recruiting Institution Services at LPL Financial
Industry Financial Services
Experience
LPL Financial 2012 - Present
LPL Financial 2005 - June 2012
UVEST Financial Services 2005 - 2010
Skills
Business Development, Recruiting, Executive Management, Financial Services, Team Leadership, Mergers & Acquisitions, Sourcing, Consulting, Relationship Management, Banking, Sales Process, Sales, Sales Management, Financial Institutions, Performance Management, Risk Management, Management, Finance, Project Management, Series 7, Program Management, FAA Licensed Pilot, Series 66
Education
University of North Carolina at Charlotte
Bachelor of Science in Business Administration (BSBA), Marketing
LPL Financial 2012 - Present
LPL Financial 2005 - June 2012
UVEST Financial Services 2005 - 2010
Skills
Business Development, Recruiting, Executive Management, Financial Services, Team Leadership, Mergers & Acquisitions, Sourcing, Consulting, Relationship Management, Banking, Sales Process, Sales, Sales Management, Financial Institutions, Performance Management, Risk Management, Management, Finance, Project Management, Series 7, Program Management, FAA Licensed Pilot, Series 66
Education
University of North Carolina at Charlotte
Bachelor of Science in Business Administration (BSBA), Marketing
Jason D Newton, CFP® Jason D Newton, CFP®'s UVEST Financial Services Experience 2003 - 2006
Job Financial Advisor, Vice President Investments at Wells Fargo Advisors, LLC
Industry Financial Services
Experience
Wells Fargo Advisors, LLC November 2006 - Present
UVEST Financial Services 2003 - 2006
Wachovia Bank 2002 - 2003
Skills
Retirement Planning, Insurance, Investment Planning, Financial Analysis, Assets & Liability..., Cash Flow Management, Risk Management, Wealth-preservation...
Education
Francis Marion University 1995 — 1999
Bachelor of Business Administration (BBA), Business Management
Wells Fargo Advisors, LLC November 2006 - Present
UVEST Financial Services 2003 - 2006
Wachovia Bank 2002 - 2003
Skills
Retirement Planning, Insurance, Investment Planning, Financial Analysis, Assets & Liability..., Cash Flow Management, Risk Management, Wealth-preservation...
Education
Francis Marion University 1995 — 1999
Bachelor of Business Administration (BBA), Business Management
Joe Lundry Joe Lundry's UVEST Financial Services Experience June 2003 - November 2010
Job Financial Consultant at First Midwest Financial Network
Industry Financial Services
Experience
First Midwest Financial Networ June 2003 - Present
UVEST Financial Services June 2003 - November 2010
Merrill Lynch May 2000 - June 2003
Skills
Investments, Retirement Planning, Insurance, Wealth Management, Finance, Securities, Financial Services, Series 7, Financial Reporting, Mutual Funds, Estate Planning, Financial Advisory, Investment Advisory, Retirement, Series 63, Strategic Planning
Education
Coe College 1986 — 1990
BA, History
First Midwest Financial Networ June 2003 - Present
UVEST Financial Services June 2003 - November 2010
Merrill Lynch May 2000 - June 2003
Skills
Investments, Retirement Planning, Insurance, Wealth Management, Finance, Securities, Financial Services, Series 7, Financial Reporting, Mutual Funds, Estate Planning, Financial Advisory, Investment Advisory, Retirement, Series 63, Strategic Planning
Education
Coe College 1986 — 1990
BA, History
Donald Stahl, Jr.'s UVEST Financial Services Experience August 2007 - August 2008
Job VP, Sponsor Relations at LPL Financial
Industry Financial Services
Experience
LPL Financial April 2015 - Present
LPL Financial February 2012 - March 2015
LPL Financial December 2009 - January 2012
LPL Financial May 2009 - December 2009
LPL Financial August 2008 - May 2009
UVEST Financial Services August 2007 - August 2008
Purshe Kaplan Sterling Investments June 2003 - August 2007
Mahoney & Associates (Cadaret Grant) April 2000 - June 2003
Prudential Financial April 1999 - June 2000
Riverside Inn 1997 - 1998
Skills
Investments, Series 7, Series 24, Series 63, FINRA, Series 65, Life & Health Insurance..., Mutual Funds, Asset Allocation, Wealth Management, Investment Advisory, Salesforce.com..., Retirement Planning, Securities, Fixed Annuities, Financial Services, CTFA - Certified Trust..., Finance
Education
Niagara University 1996 — 1997
Bachelor of Science, Business: Hotel and Restaurant Management
Buffalo State College 1995 — 1996
Colorado Mountain College 1993 — 1994
Institute of Certified Bankers
Certified Trust and Financial Advisor – CTFA
LPL Financial April 2015 - Present
LPL Financial February 2012 - March 2015
LPL Financial December 2009 - January 2012
LPL Financial May 2009 - December 2009
LPL Financial August 2008 - May 2009
UVEST Financial Services August 2007 - August 2008
Purshe Kaplan Sterling Investments June 2003 - August 2007
Mahoney & Associates (Cadaret Grant) April 2000 - June 2003
Prudential Financial April 1999 - June 2000
Riverside Inn 1997 - 1998
Skills
Investments, Series 7, Series 24, Series 63, FINRA, Series 65, Life & Health Insurance..., Mutual Funds, Asset Allocation, Wealth Management, Investment Advisory, Salesforce.com..., Retirement Planning, Securities, Fixed Annuities, Financial Services, CTFA - Certified Trust..., Finance
Education
Niagara University 1996 — 1997
Bachelor of Science, Business: Hotel and Restaurant Management
Buffalo State College 1995 — 1996
Colorado Mountain College 1993 — 1994
Institute of Certified Bankers
Certified Trust and Financial Advisor – CTFA
Jason Dilorenzo Jason Dilorenzo's UVEST Financial Services Experience May 2004 - October 2008
Job Market DirectorExecutive Director JPMorgan Chase Bank N.A.
Industry Financial Services
Experience
JP Morgan Chase Bank, N.A. October 2008 - Present
UVEST Financial Services May 2004 - October 2008
Education
Dowling College 1995 — 1999
JP Morgan Chase Bank, N.A. October 2008 - Present
UVEST Financial Services May 2004 - October 2008
Education
Dowling College 1995 — 1999
Aron Maddox Aron Maddox's UVEST Financial Services Experience May 2002 - October 2010
Job Associate Director
Industry Financial Services
Experience
Investment & Insurance 2015 - Present
T. Rowe Price July 2013 - September 2014
T. Rowe Price June 2011 - July 2013
Maryland State Retirement and Pension System May 2011 - June 2011
UVEST Financial Services May 2002 - October 2010
ProFund Advisors LLC July 2000 - May 2002
ICMA-RC March 1999 - July 2000
M & T Bank June 1996 - March 1999
Summit Financial Group January 1995 - June 1996
Legg Mason March 1989 - December 1994
Skills
Investments, Securities, Series 7, Series 66, Series 6, Series 63, Financial Services, Mutual Funds, Asset Allocation, 401k, Retirement Planning, Retirement, Equities, Fixed Income, Management, Wealth Management, Asset Management, Portfolio Management, Risk Management, Employee Benefits
Education
Morgan State University 1986 — 1991
BS, Business Administration
Morgan State University
Bachelor of Science (B.S.), Business Administration
Investment & Insurance 2015 - Present
T. Rowe Price July 2013 - September 2014
T. Rowe Price June 2011 - July 2013
Maryland State Retirement and Pension System May 2011 - June 2011
UVEST Financial Services May 2002 - October 2010
ProFund Advisors LLC July 2000 - May 2002
ICMA-RC March 1999 - July 2000
M & T Bank June 1996 - March 1999
Summit Financial Group January 1995 - June 1996
Legg Mason March 1989 - December 1994
Skills
Investments, Securities, Series 7, Series 66, Series 6, Series 63, Financial Services, Mutual Funds, Asset Allocation, 401k, Retirement Planning, Retirement, Equities, Fixed Income, Management, Wealth Management, Asset Management, Portfolio Management, Risk Management, Employee Benefits
Education
Morgan State University 1986 — 1991
BS, Business Administration
Morgan State University
Bachelor of Science (B.S.), Business Administration
David Lieberman David Lieberman's UVEST Financial Services Experience October 2005 - October 2006
Job Regional Director at MetLife Premier Client Group
Industry Financial Services
Experience
MetLife June 2014 - Present
SagePoint Financial April 2013 - May 2014
Lincoln Financial Group July 2011 - April 2013
Investment Professionals, Inc. October 2006 - July 2011
UVEST Financial Services October 2005 - October 2006
Bank of America October 2001 - October 2005
THE VANGUARD GROUP January 2000 - January 2001
Skills
Banking, Recruiting, Business Development, Negotiation, Public Speaking
Education
Temple University 1998 — 2000
Master of Education, Counseling Psychology
University of North Carolina at Charlotte 1994 — 1998
Bachelor of Science, Psychology
MetLife June 2014 - Present
SagePoint Financial April 2013 - May 2014
Lincoln Financial Group July 2011 - April 2013
Investment Professionals, Inc. October 2006 - July 2011
UVEST Financial Services October 2005 - October 2006
Bank of America October 2001 - October 2005
THE VANGUARD GROUP January 2000 - January 2001
Skills
Banking, Recruiting, Business Development, Negotiation, Public Speaking
Education
Temple University 1998 — 2000
Master of Education, Counseling Psychology
University of North Carolina at Charlotte 1994 — 1998
Bachelor of Science, Psychology
Glenn Hain, ChFC, CRPC, CRPS's UVEST Financial Services Experience March 1998 - December 2001
Job Vice President, Financial Advisor, Wealth Management
Industry Financial Services
Experience
Merrill Lynch January 2004 - Present
UVEST Financial Services March 1998 - December 2001
Lincoln Financial Group June 1995 - February 1998
Wyeth Pharmaceutical August 1984 - March 1995
Education
College for Financial Planning 2006 — 2006
Chartered Retirement Plans Specialist (CRPS)
College of Financial Planning 2001 — 2001
Certified Retirement Planning Consultant (CRPC)
The American College of Financial Services 1995 — 1998
Chartered Financial Consultant (ChFC)
Frostburg State University 1990 — 1994
Master of Business Administration (M.B.A.)
Mansfield University of Pennsylvania 1979 — 1984
Bachelor's Degree, Biology
Merrill Lynch January 2004 - Present
UVEST Financial Services March 1998 - December 2001
Lincoln Financial Group June 1995 - February 1998
Wyeth Pharmaceutical August 1984 - March 1995
Education
College for Financial Planning 2006 — 2006
Chartered Retirement Plans Specialist (CRPS)
College of Financial Planning 2001 — 2001
Certified Retirement Planning Consultant (CRPC)
The American College of Financial Services 1995 — 1998
Chartered Financial Consultant (ChFC)
Frostburg State University 1990 — 1994
Master of Business Administration (M.B.A.)
Mansfield University of Pennsylvania 1979 — 1984
Bachelor's Degree, Biology
Karen KC Conway's UVEST Financial Services Experience May 2005 - June 2007
Job Vice President at First Republic Bank
Industry Financial Services
Experience
First Republic Bank December 2013 - Present
NestWise December 2012 - September 2013
Pershing January 2012 - November 2012
LPL Financial June 2007 - December 2011
UVEST Financial Services May 2005 - June 2007
Financial Foundation 2003 - 2005
Morgan Stanley Smith Barney 2002 - 2003
Merrill Lynch Investment Managers October 1998 - January 2002
Skills
Mutual Funds, Investments, Asset Management, Strategic Financial..., Financial Advisory, CRM, Investment Management, Finance, Project Management, Business Development, Organizational..., Series 7, Financial Services, Wealth Management, Securities, Consulting, Retirement Planning, Investment Advisory, Banking
Education
Harvard University
BA
UCLA-Anderson School 1998 — 2001
MBA, Business
First Republic Bank December 2013 - Present
NestWise December 2012 - September 2013
Pershing January 2012 - November 2012
LPL Financial June 2007 - December 2011
UVEST Financial Services May 2005 - June 2007
Financial Foundation 2003 - 2005
Morgan Stanley Smith Barney 2002 - 2003
Merrill Lynch Investment Managers October 1998 - January 2002
Skills
Mutual Funds, Investments, Asset Management, Strategic Financial..., Financial Advisory, CRM, Investment Management, Finance, Project Management, Business Development, Organizational..., Series 7, Financial Services, Wealth Management, Securities, Consulting, Retirement Planning, Investment Advisory, Banking
Education
Harvard University
BA
UCLA-Anderson School 1998 — 2001
MBA, Business
Scott Giordano Scott Giordano's UVEST Financial Services Experience 2000 - 2005
Job Financial Advisor at LPL Financial
Industry Financial Services
Experience
E*TRADE Financial Corporation 2012 - 2014
LPL Financial April 2011 - May 2012
Bank of America / Merrill Lynch June 2008 - April 2011
Raymond James at Fidelity Bank March 2005 - June 2008
UVEST Financial Services 2000 - 2005
ICBA Financial Services 1994 - 2000
Johnson & Johnson 1985 - 1988
Skills
Investments, Financial Advisory, Wealth Management, Mutual Funds, Strategic Financial..., Series 7, Estate Planning, Portfolio Management, Securities, Investment Advisory, Retirement, Retirement Planning, Investment Strategies, Asset Allocation, Series 63
Education
Christian Brothers University 1980 — 1985
BS, Natural Science
E*TRADE Financial Corporation 2012 - 2014
LPL Financial April 2011 - May 2012
Bank of America / Merrill Lynch June 2008 - April 2011
Raymond James at Fidelity Bank March 2005 - June 2008
UVEST Financial Services 2000 - 2005
ICBA Financial Services 1994 - 2000
Johnson & Johnson 1985 - 1988
Skills
Investments, Financial Advisory, Wealth Management, Mutual Funds, Strategic Financial..., Series 7, Estate Planning, Portfolio Management, Securities, Investment Advisory, Retirement, Retirement Planning, Investment Strategies, Asset Allocation, Series 63
Education
Christian Brothers University 1980 — 1985
BS, Natural Science
Jeremy Doll's UVEST Financial Services Experience January 2008 - December 2008
Job Sales Professional at Soapoint Graphics
Industry Graphic Design
Experience
Soapoint Graphics March 2009 - Present
UVEST Financial Services January 2008 - December 2008
AXA Advisors January 2006 - January 2008
Education
Fort Hays State University 2000 — 2005
BBA, Finance
Soapoint Graphics March 2009 - Present
UVEST Financial Services January 2008 - December 2008
AXA Advisors January 2006 - January 2008
Education
Fort Hays State University 2000 — 2005
BBA, Finance
Michele Falconer Michele Falconer's UVEST Financial Services Experience July 2002 - October 2004
Job Director, Enterprise Financial Crimes Compliance at U.S. Bank
Industry Banking
Experience
U.S. Bank August 2015 - Present
McGladrey September 2014 - August 2015
TIAA-CREF March 2014 - September 2014
Bank of America December 2013 - March 2014
Bank of America June 2011 - December 2013
Bank of America June 2010 - June 2011
Federal Reserve Bank of Richmond November 2004 - June 2010
UVEST Financial Services July 2002 - October 2004
Bank of America November 1999 - July 2002
RBC Centura Securities January 1996 - November 1999
Skills
Risk Management, Quality Assurance, Financial Systems, Strategic Financial..., Governance, Policy, Auditing, Financial Analysis, Financial Services, Operational Risk..., Investments, Anti Money Laundering, Budgets, Asset Management, Change Management, Internal Controls, Credit Risk, Financial Risk, Project Planning, Leadership, Management, Finance, Banking, Risk Assessment, AML, Operational Risk, Accounting, Market Risk, Analysis, Enterprise Risk..., Strategy
Education
University of North Carolina at Charlotte 1993 — 1996
BSBA, Finance
U.S. Bank August 2015 - Present
McGladrey September 2014 - August 2015
TIAA-CREF March 2014 - September 2014
Bank of America December 2013 - March 2014
Bank of America June 2011 - December 2013
Bank of America June 2010 - June 2011
Federal Reserve Bank of Richmond November 2004 - June 2010
UVEST Financial Services July 2002 - October 2004
Bank of America November 1999 - July 2002
RBC Centura Securities January 1996 - November 1999
Skills
Risk Management, Quality Assurance, Financial Systems, Strategic Financial..., Governance, Policy, Auditing, Financial Analysis, Financial Services, Operational Risk..., Investments, Anti Money Laundering, Budgets, Asset Management, Change Management, Internal Controls, Credit Risk, Financial Risk, Project Planning, Leadership, Management, Finance, Banking, Risk Assessment, AML, Operational Risk, Accounting, Market Risk, Analysis, Enterprise Risk..., Strategy
Education
University of North Carolina at Charlotte 1993 — 1996
BSBA, Finance
Michael Gregson Michael Gregson's UVEST Financial Services Experience March 2001 - January 2009
Job Founder and CEO of Fulcrum Point Financial
Industry Financial Services
Experience
Fulcrum Point Financial January 2011 - Present
LPL Financial January 2009 - 2010
UVEST Financial Services March 2001 - January 2009
Skills
Series 24, Trading, Financial Advisory, Series 7, Series 63, Securities, Mutual Funds, Investments, Fixed Income, Finance, Financial Services, Asset Management, Equities, Wealth Management, Investment Advisory, Options, Alternative Investments, Portfolio Management, Retirement, FINRA, Asset Allocation
Education
University of North Carolina at Charlotte
Masters, Business administration
Dickinson College 1985 — 1989
BA, Economics
Fulcrum Point Financial January 2011 - Present
LPL Financial January 2009 - 2010
UVEST Financial Services March 2001 - January 2009
Skills
Series 24, Trading, Financial Advisory, Series 7, Series 63, Securities, Mutual Funds, Investments, Fixed Income, Finance, Financial Services, Asset Management, Equities, Wealth Management, Investment Advisory, Options, Alternative Investments, Portfolio Management, Retirement, FINRA, Asset Allocation
Education
University of North Carolina at Charlotte
Masters, Business administration
Dickinson College 1985 — 1989
BA, Economics
Rae Aleshire Rae Aleshire's UVEST Financial Services Experience 2004 - 2006
Job Financial Services Professional
Industry Financial Services
Experience
LTC Financial Partners January 2009 - Present
John Hancock April 2007 - November 2008
John Hancock Life Insurance Company (U.S.A.) 2007 - 2008
UVEST Financial Services 2004 - 2006
Jackson National Life Institutional Marketing Group 1999 - 2004
Jackson National Life 1997 - 2003
SunAmerica 1996 - 1997
Independent Financial Marketing Group 1994 - 1997
GNA 1987 - 1992
Skills
Series 7, Mutual Funds, Business Development, Life Insurance, Wealth Management, Investments, Insurance, Risk Management, Financial Services, Marketing, Retirement Planning, Training, Sales Management, Retirement, Fixed Annuities, Sales, Long-term Care, IRAs, Banking, Long Term Care Insurance
Education
Texas State University 1968 — 1971
Advertising, Marketing
LTC Financial Partners January 2009 - Present
John Hancock April 2007 - November 2008
John Hancock Life Insurance Company (U.S.A.) 2007 - 2008
UVEST Financial Services 2004 - 2006
Jackson National Life Institutional Marketing Group 1999 - 2004
Jackson National Life 1997 - 2003
SunAmerica 1996 - 1997
Independent Financial Marketing Group 1994 - 1997
GNA 1987 - 1992
Skills
Series 7, Mutual Funds, Business Development, Life Insurance, Wealth Management, Investments, Insurance, Risk Management, Financial Services, Marketing, Retirement Planning, Training, Sales Management, Retirement, Fixed Annuities, Sales, Long-term Care, IRAs, Banking, Long Term Care Insurance
Education
Texas State University 1968 — 1971
Advertising, Marketing
Randall Maxey Randall Maxey's UVEST Financial Services Experience December 2008 - September 2009
Job Manager of Sales and Customer Services at EBSCO/NoveList
Industry Information Technology and Services
Experience
EBSCO/NoveList September 2011 - Present
EBSCO Publishing September 2009 - September 2011
UVEST Financial Services December 2008 - September 2009
TIAA-CREF February 2007 - October 2008
TIAA CREF January 2007 - October 2008
Wachovia Securities February 1997 - February 2007
Skills
Sales Support, Sales Process, Customer Experience, Customer Satisfaction, Customer Engagement, Sales Management, Marketing Strategy, Sales Operations, Management, Direct Sales, Forecasting, Marketing, Sales, Training, CRM
Education
University of North Carolina at Charlotte - Belk College of Business 1985 — 1988
MBA, Finance
University of South Carolina - The Moore School of Business 1973 — 1976
Economics, BS
EBSCO/NoveList September 2011 - Present
EBSCO Publishing September 2009 - September 2011
UVEST Financial Services December 2008 - September 2009
TIAA-CREF February 2007 - October 2008
TIAA CREF January 2007 - October 2008
Wachovia Securities February 1997 - February 2007
Skills
Sales Support, Sales Process, Customer Experience, Customer Satisfaction, Customer Engagement, Sales Management, Marketing Strategy, Sales Operations, Management, Direct Sales, Forecasting, Marketing, Sales, Training, CRM
Education
University of North Carolina at Charlotte - Belk College of Business 1985 — 1988
MBA, Finance
University of South Carolina - The Moore School of Business 1973 — 1976
Economics, BS
Jason Lovell's UVEST Financial Services Experience December 2003 - January 2008
Job Assistant Vice President, Service360 at LPL Financial
Industry Investment Management
Experience
LPL Financial May 2013 - Present
LPL Financial November 2012 - May 2013
LPL Financial October 2011 - November 2012
LPL Financial July 2010 - October 2011
LPL Financial October 2007 - July 2010
UVEST Financial Services December 2003 - January 2008
Wachovia Securities, LLC September 1998 - December 2003
Skills
Series 7, Wealth Management, Mutual Funds, Series 63, Investments, Securities, Retirement Planning, Financial Services, Strategic Financial..., Insurance, Asset Managment, Investment Advisory, Fixed Annuities, 401k, Retirement, Leadership, Training, FINRA, Stocks
Education
North Carolina State University 1993 — 1997
BS, Zoology
LPL Financial May 2013 - Present
LPL Financial November 2012 - May 2013
LPL Financial October 2011 - November 2012
LPL Financial July 2010 - October 2011
LPL Financial October 2007 - July 2010
UVEST Financial Services December 2003 - January 2008
Wachovia Securities, LLC September 1998 - December 2003
Skills
Series 7, Wealth Management, Mutual Funds, Series 63, Investments, Securities, Retirement Planning, Financial Services, Strategic Financial..., Insurance, Asset Managment, Investment Advisory, Fixed Annuities, 401k, Retirement, Leadership, Training, FINRA, Stocks
Education
North Carolina State University 1993 — 1997
BS, Zoology
Steve Robison Steve Robison's UVEST Financial Services Experience October 1984 - October 1994
Job Consulting
Industry Financial Services
Experience
Robison Consulting, Inc. October 1994 - Present
3P Resources February 2011 - September 2015
Bank of America October 1994 - January 2001
UVEST Financial Services October 1984 - October 1994
BarclaysAmerican Commercial January 1982 - October 1984
Skills
Executive Search, Start-ups, Mergers, Account Management, Portfolio Management, Capital Markets, Technical Recruiting, Mergers & Acquisitions, Strategic Planning, Management, Negotiation, Investments, Banking, SDLC, Recruiting, CRM, Financial Services, Strategy, Sales Operations, Private Equity, Business Development, Consulting, Integration, Talent Acquisition
Education
University of North Carolina at Charlotte - Belk College of Business 1976 — 1980
B.A., Business Administration
Robison Consulting, Inc. October 1994 - Present
3P Resources February 2011 - September 2015
Bank of America October 1994 - January 2001
UVEST Financial Services October 1984 - October 1994
BarclaysAmerican Commercial January 1982 - October 1984
Skills
Executive Search, Start-ups, Mergers, Account Management, Portfolio Management, Capital Markets, Technical Recruiting, Mergers & Acquisitions, Strategic Planning, Management, Negotiation, Investments, Banking, SDLC, Recruiting, CRM, Financial Services, Strategy, Sales Operations, Private Equity, Business Development, Consulting, Integration, Talent Acquisition
Education
University of North Carolina at Charlotte - Belk College of Business 1976 — 1980
B.A., Business Administration
Jack Sutherland Jack Sutherland's UVEST Financial Services Experience May 2004 - November 2007
Job Senior DevOps Engineer and UX Lead at Watershed Health
Industry Internet
Experience
Watershed Health August 2014 - Present
SouthTunnel LLC January 2008 - Present
Norima Consulting Inc August 2012 - August 2014
Impact Technologies Group, Inc. May 2008 - August 2012
carbonhouse, inc. November 2007 - May 2008
BIG Council 2008 - 2008
UVEST Financial Services May 2004 - November 2007
Skills
Ruby on Rails, ASP.NET, jQuery, JavaScript, HTML 5, CSS3, Web Development, Microsoft SQL Server, CSS, .NET, ASP.NET MVC, Databases, ASP, Flash, Web Services, MySQL
Education
University of North Carolina at Charlotte 2001 — 2004
BA, Computer Science
Central Piedmont Community College 1998 — 2000
Associate's degree, Information Technology
Watershed Health August 2014 - Present
SouthTunnel LLC January 2008 - Present
Norima Consulting Inc August 2012 - August 2014
Impact Technologies Group, Inc. May 2008 - August 2012
carbonhouse, inc. November 2007 - May 2008
BIG Council 2008 - 2008
UVEST Financial Services May 2004 - November 2007
Skills
Ruby on Rails, ASP.NET, jQuery, JavaScript, HTML 5, CSS3, Web Development, Microsoft SQL Server, CSS, .NET, ASP.NET MVC, Databases, ASP, Flash, Web Services, MySQL
Education
University of North Carolina at Charlotte 2001 — 2004
BA, Computer Science
Central Piedmont Community College 1998 — 2000
Associate's degree, Information Technology
Brad Johannes Brad Johannes's UVEST Financial Services Experience June 2002 - January 2005
Job VP Investment Sales Manager at First Midwest Financial Network
Industry Financial Services
Experience
First Midwest Financial Network August 2012 - Present
Fifth Third Securities March 2012 - August 2012
Associated Investment Services, Inc. January 2011 - February 2012
CUNA Brokerage Services, Inc. February 2010 - September 2010
PrimeVest Financial Services May 2006 - January 2010
PrimeVest Financial Services May 2006 - May 2009
Independent Bankers Bank of Illinois 2006 - 2009
Investment Centers of America April 2005 - October 2005
Uvest Financial Services June 2002 - January 2005
Invest Financial Corporation July 1998 - April 2002
Skills
Sales Management, Series 7, Series 24, Series 65, Wealth Management, Retirement Planning, Fixed Annuities, Mutual Funds, Investments, Securities, Retirement, Strategic Financial..., Investment Advisory, Financial Advisory, Financial Services, Insurance
Education
Rock Valley College 1981 — 1982
University of Iowa 1979 — 1980
Belvidere High School 1976 — 1979
First Midwest Financial Network August 2012 - Present
Fifth Third Securities March 2012 - August 2012
Associated Investment Services, Inc. January 2011 - February 2012
CUNA Brokerage Services, Inc. February 2010 - September 2010
PrimeVest Financial Services May 2006 - January 2010
PrimeVest Financial Services May 2006 - May 2009
Independent Bankers Bank of Illinois 2006 - 2009
Investment Centers of America April 2005 - October 2005
Uvest Financial Services June 2002 - January 2005
Invest Financial Corporation July 1998 - April 2002
Skills
Sales Management, Series 7, Series 24, Series 65, Wealth Management, Retirement Planning, Fixed Annuities, Mutual Funds, Investments, Securities, Retirement, Strategic Financial..., Investment Advisory, Financial Advisory, Financial Services, Insurance
Education
Rock Valley College 1981 — 1982
University of Iowa 1979 — 1980
Belvidere High School 1976 — 1979
Henry Hank Sanchez's UVEST Financial Services Experience July 2009 - July 2010
Job Managing Director at Oyster Consulting, LLC
Industry Financial Services
Experience
Oyster Consulting, LLC September 2010 - Present
LPL Financial July 2009 - July 2010
UVEST Financial Services July 2009 - July 2010
LPL Financial May 2006 - July 2009
TIAA-CREF 2004 - 2006
National Society of Compliance Professionals 2003 - 2006
High Mark Financial Services January 2003 - 2004
Reed Smith LLP 2001 - December 2002
NASD May 1993 - October 2001
Page & Bacek 1991 - 1993
Skills
Securities, Compliance, FINRA, Securities Law, Investment Advisory, Securities Regulation, Licensing, Mutual Funds, Risk Management, Arbitration, Expert Witness, Regulatory Requirements, Broker-Dealer, Enforcement Actions, SEC, Series 24, Hedge Funds, Investments, Series 7, Wealth Management, Insurance, Financial Risk, Alternative Investments, Equities, Financial Services, AML, Risk Assessment, Corporate Governance, Asset Management, ETFs, Options, Series 63, Equity Trading, Series 65, Management, Fixed Income, Regulations, KYC, Fraud, Uniform Combined State..., Due Diligence, Private Equity, Strategy, Financial Regulation, Financial Advisory, Private Placements, 401k
Education
NASD/Wharton Institute 2003 — 2006
Certified Regulatory and Compliance Professional
Georgetown University Law Center 1985 — 1988
LLM
Rutgers University School of Law - Newark 1981 — 1984
JD
Stockton University 1974 — 1977
BA
Oyster Consulting, LLC September 2010 - Present
LPL Financial July 2009 - July 2010
UVEST Financial Services July 2009 - July 2010
LPL Financial May 2006 - July 2009
TIAA-CREF 2004 - 2006
National Society of Compliance Professionals 2003 - 2006
High Mark Financial Services January 2003 - 2004
Reed Smith LLP 2001 - December 2002
NASD May 1993 - October 2001
Page & Bacek 1991 - 1993
Skills
Securities, Compliance, FINRA, Securities Law, Investment Advisory, Securities Regulation, Licensing, Mutual Funds, Risk Management, Arbitration, Expert Witness, Regulatory Requirements, Broker-Dealer, Enforcement Actions, SEC, Series 24, Hedge Funds, Investments, Series 7, Wealth Management, Insurance, Financial Risk, Alternative Investments, Equities, Financial Services, AML, Risk Assessment, Corporate Governance, Asset Management, ETFs, Options, Series 63, Equity Trading, Series 65, Management, Fixed Income, Regulations, KYC, Fraud, Uniform Combined State..., Due Diligence, Private Equity, Strategy, Financial Regulation, Financial Advisory, Private Placements, 401k
Education
NASD/Wharton Institute 2003 — 2006
Certified Regulatory and Compliance Professional
Georgetown University Law Center 1985 — 1988
LLM
Rutgers University School of Law - Newark 1981 — 1984
JD
Stockton University 1974 — 1977
BA
Jack Lykins's UVEST Financial Services Experience September 2003 - August 2004
Job Powerdrive LLC
Industry Industrial Automation
Experience
PowerDrive August 2012 - Present
Allstate Insurance July 2009 - August 2012
Fifth Third Securities November 2004 - July 2009
Chase Securities August 2004 - November 2004
UVEST Financial Services September 2003 - August 2004
Edward Jones August 2000 - September 2003
Emerson Power Transmission March 1973 - August 2000
Skills
Insurance, Sales, Sales Management, Investments, Retirement Planning, Marketing, Property & Casualty..., New Business Development, Strategic Planning, Finance, Forecasting, Purchasing, Negotiation, Sales Operations, Business Planning, Pricing, Manufacturing, Product Management, Product Marketing
Education
Northern Kentucky University 1982 — 1992
BS, Operations Management
PowerDrive August 2012 - Present
Allstate Insurance July 2009 - August 2012
Fifth Third Securities November 2004 - July 2009
Chase Securities August 2004 - November 2004
UVEST Financial Services September 2003 - August 2004
Edward Jones August 2000 - September 2003
Emerson Power Transmission March 1973 - August 2000
Skills
Insurance, Sales, Sales Management, Investments, Retirement Planning, Marketing, Property & Casualty..., New Business Development, Strategic Planning, Finance, Forecasting, Purchasing, Negotiation, Sales Operations, Business Planning, Pricing, Manufacturing, Product Management, Product Marketing
Education
Northern Kentucky University 1982 — 1992
BS, Operations Management
Ginia Moodie Polyzos's UVEST Financial Services Experience June 2003 - June 2007
Job Vice President, Service Delivery Consultant | Global Network & Infrastructure Solutions at Bank of America
Industry Professional Training & Coaching
Experience
Bank of America November 2014 - Present
Logos Development Group LLC February 2002 - Present
Bank of America August 2010 - August 2014
Genesis10 June 2009 - August 2010
LPL July 2007 - April 2008
UVEST Financial Services June 2003 - June 2007
First Union National Bank 1999 - 2002
Management Advisors International 1993 - 1998
Barclays American Mortgage 1990 - 1992
Barnett Bank of Pasco County 1984 - 1986
Education
Institute of Neuro Semantics 1997 — 1999
Master Practitioner Certification, Neuro Semantics, Cognitive Psychology, Neuro Linguistic Programming
Nova Southeastern University 1984 — 1987
MBA, Business Administration and Finance, 3.84 GPA - With Honors
Nova Southeastern University 1982 — 1984
B.S.P.M, Professional Management
Forest Park High School 1969 — 1973
High School Diploma
Bank of America November 2014 - Present
Logos Development Group LLC February 2002 - Present
Bank of America August 2010 - August 2014
Genesis10 June 2009 - August 2010
LPL July 2007 - April 2008
UVEST Financial Services June 2003 - June 2007
First Union National Bank 1999 - 2002
Management Advisors International 1993 - 1998
Barclays American Mortgage 1990 - 1992
Barnett Bank of Pasco County 1984 - 1986
Education
Institute of Neuro Semantics 1997 — 1999
Master Practitioner Certification, Neuro Semantics, Cognitive Psychology, Neuro Linguistic Programming
Nova Southeastern University 1984 — 1987
MBA, Business Administration and Finance, 3.84 GPA - With Honors
Nova Southeastern University 1982 — 1984
B.S.P.M, Professional Management
Forest Park High School 1969 — 1973
High School Diploma
Richard Raff Richard Raff's UVEST Financial Services Experience 2004 - October 2011
Job Investment Consultant at Highland Colony Wealth Management
Industry Financial Services
Experience
Highland Colony Wealth Management Wealth AdvisorInfinex Financial GroupOctober 2011 - Present
M&F Bank January 2004 - November 2013
UVEST Financial Services 2004 - October 2011
Education
University of Mississippi - School of Business Administration 1994 — 1999
Bachelor's, Business
Highland Colony Wealth Management Wealth AdvisorInfinex Financial GroupOctober 2011 - Present
M&F Bank January 2004 - November 2013
UVEST Financial Services 2004 - October 2011
Education
University of Mississippi - School of Business Administration 1994 — 1999
Bachelor's, Business
John Chanda John Chanda's UVEST Financial Services Experience November 2007 - June 2010
Job Investment Advisor at ProEquities, Inc.
Industry Financial Services
Experience
ProEquities, Inc. June 2010 - Present
Bankers Life & Casualty Co November 2007 - August 2014
UVEST Financial Services November 2007 - June 2010
AG Edwards February 2006 - November 2007
Skills
Investments, Retirement Planning, IRAs, Retirement, Fixed Annuities, Long-term Care, Life Insurance, Health Insurance, Insurance, Long Term Care Insurance, 401k, Term Life Insurance, Mutual Funds, Estate Planning, Sales, Disability Insurance, Universal Life, Whole Life, Leadership, Series 7
Education
Hofstra University 1989 — 1992
Bachelor of Business Administration (BBA), Business Administration and Management, General
University of Maryland College Park 1987 — 1989
Massapequa High School 1983 — 1987
ProEquities, Inc. June 2010 - Present
Bankers Life & Casualty Co November 2007 - August 2014
UVEST Financial Services November 2007 - June 2010
AG Edwards February 2006 - November 2007
Skills
Investments, Retirement Planning, IRAs, Retirement, Fixed Annuities, Long-term Care, Life Insurance, Health Insurance, Insurance, Long Term Care Insurance, 401k, Term Life Insurance, Mutual Funds, Estate Planning, Sales, Disability Insurance, Universal Life, Whole Life, Leadership, Series 7
Education
Hofstra University 1989 — 1992
Bachelor of Business Administration (BBA), Business Administration and Management, General
University of Maryland College Park 1987 — 1989
Massapequa High School 1983 — 1987
Marisha Sims Marisha Sims's UVEST Financial Services Experience July 2000 - August 2007
Job Operations Manager, Client Compensation Technology at LPL Financial
Industry Financial Services
Experience
LPL Financial November 2014 - Present
LPL Financial January 2014 - November 2014
LPL Financial August 2010 - January 2014
LPL Financial August 2007 - August 2010
UVEST Financial Services July 2000 - August 2007
Skills
Insurance, Strategic Financial..., Process Improvement, Financial Services, Mutual Funds, Securities, Analysis, Fixed Annuities, Series 6, Relationship Management, Business Process..., Change Management, Leadership, Finance, Risk Management, Management, Investments, Investment Advisory, Series 63, Business Analysis, Financial Analysis
Education
Liberty University 2013 — 2015
Psychology
University of North Carolina at Chapel Hill 1992 — 1996
English Language and Literature, General
LPL Financial November 2014 - Present
LPL Financial January 2014 - November 2014
LPL Financial August 2010 - January 2014
LPL Financial August 2007 - August 2010
UVEST Financial Services July 2000 - August 2007
Skills
Insurance, Strategic Financial..., Process Improvement, Financial Services, Mutual Funds, Securities, Analysis, Fixed Annuities, Series 6, Relationship Management, Business Process..., Change Management, Leadership, Finance, Risk Management, Management, Investments, Investment Advisory, Series 63, Business Analysis, Financial Analysis
Education
Liberty University 2013 — 2015
Psychology
University of North Carolina at Chapel Hill 1992 — 1996
English Language and Literature, General
Edward Dominguez Edward Dominguez's UVEST Financial Services Experience November 2009 - July 2011
Job Director, Wealth Management LPL Financial Branch Manager
Industry Financial Services
Experience
SEFCU Wealth Management Services November 2009 - Present
LPL Financial July 2011 - Present
UVEST Financial Services November 2009 - July 2011
Latham Circle Soccer Club 2007 - 2010
Pioneer Savings Bank August 2002 - November 2009
Morgan Stanley May 1997 - August 2002
Skills
Banking, Retail Banking, Securities, Portfolio Management, Wealth Management, Investment Advisory, Consumer Lending, Finance, Strategic Planning, Loans, Credit, Series 7, Series 24, Series 31, Series 63, Series 65, Retirement Planning, Strategic Financial..., Financial Analysis, Mutual Funds, Sales, Life Insurance, Customer Experience, Product Management, Business Process, Leadership, Credit Unions, Community Banking, Not for Profit, Due Diligence, Insurance, Commercial Lending, Wealth Management..., 401k, Program Management, Sales Management
Education
State University of New York College at Plattsburgh 1986 — 1990
BA, Political Science
SEFCU Wealth Management Services November 2009 - Present
LPL Financial July 2011 - Present
UVEST Financial Services November 2009 - July 2011
Latham Circle Soccer Club 2007 - 2010
Pioneer Savings Bank August 2002 - November 2009
Morgan Stanley May 1997 - August 2002
Skills
Banking, Retail Banking, Securities, Portfolio Management, Wealth Management, Investment Advisory, Consumer Lending, Finance, Strategic Planning, Loans, Credit, Series 7, Series 24, Series 31, Series 63, Series 65, Retirement Planning, Strategic Financial..., Financial Analysis, Mutual Funds, Sales, Life Insurance, Customer Experience, Product Management, Business Process, Leadership, Credit Unions, Community Banking, Not for Profit, Due Diligence, Insurance, Commercial Lending, Wealth Management..., 401k, Program Management, Sales Management
Education
State University of New York College at Plattsburgh 1986 — 1990
BA, Political Science
Pamela Roy Pamela Roy's UVEST Financial Services Experience 1996 - 2009
Job Financial Services Consultant Inbound at TIAACREF
Industry Financial Services
Experience
TIAA-CREF February 2014 - Present
First Tryon Securites September 2012 - February 2014
LPL Financial July 2010 - September 2012
LPL Financial 1996 - 2012
Realty Resources of the Carolinas 2007 - 2011
Roy Realty Inc 2007 - 2011
Charlotte Mecklenburg Schools 2009 - 2010
LPL Financial February 2008 - July 2009
UVEST Financial Services 1996 - 2009
LPL Financial 2006 - 2008
Skills
Back Office, Investments, Negotiation, Customer Service, Customer Relations, Mutual Funds, Training, Leadership, Management, Sales, Series 63, Financial Services, Business Planning, Finance, Project Management, Retirement Planning, Insurance, Securities
Education
Central Piedmont Community College 2012 — 2012
Project Management
Massasoit Community College 1983 — 1985
Associates, Business Administration
Brockton High 1979 — 1983
High School Diploma, Business Administration and Management, General
TIAA-CREF February 2014 - Present
First Tryon Securites September 2012 - February 2014
LPL Financial July 2010 - September 2012
LPL Financial 1996 - 2012
Realty Resources of the Carolinas 2007 - 2011
Roy Realty Inc 2007 - 2011
Charlotte Mecklenburg Schools 2009 - 2010
LPL Financial February 2008 - July 2009
UVEST Financial Services 1996 - 2009
LPL Financial 2006 - 2008
Skills
Back Office, Investments, Negotiation, Customer Service, Customer Relations, Mutual Funds, Training, Leadership, Management, Sales, Series 63, Financial Services, Business Planning, Finance, Project Management, Retirement Planning, Insurance, Securities
Education
Central Piedmont Community College 2012 — 2012
Project Management
Massasoit Community College 1983 — 1985
Associates, Business Administration
Brockton High 1979 — 1983
High School Diploma, Business Administration and Management, General
Graeme Lee, AIF®'s UVEST Financial Services Experience April 2004 - May 2006
Job AVP, Business Consulting at National Financial Partners
Industry Investment Management
Experience
National Financial Partners August 2012 - Present
LPL Financial February 2010 - August 2012
Union Bank of Switzerland December 2009 - February 2010
LPL Financial May 2004 - July 2009
UVEST Financial Services April 2004 - May 2006
Skills
Investments, Securities, Series 7, Mutual Funds, Asset Management, Investment Advisory, Banking, Coaching, Equities, Public Speaking, Strategic Planning, Business Strategy, New Business Development, Negotiation, Team Building, Budgeting, Team Leadership, Excel, Portfolio Management, Financial Services, Finance, Financial Advisory, Asset Allocation, Wealth Management, Series 63, Investment Strategies, Retirement, Series 65, Investment Management
Education
University of North Carolina at Charlotte 2002 — 2006
Bachlor of Science, Business Administration
University of North Carolina at Charlotte - Belk College of Business 2002 — 2006
Bachlor of Science, Business Administration and Management, General
National Financial Partners August 2012 - Present
LPL Financial February 2010 - August 2012
Union Bank of Switzerland December 2009 - February 2010
LPL Financial May 2004 - July 2009
UVEST Financial Services April 2004 - May 2006
Skills
Investments, Securities, Series 7, Mutual Funds, Asset Management, Investment Advisory, Banking, Coaching, Equities, Public Speaking, Strategic Planning, Business Strategy, New Business Development, Negotiation, Team Building, Budgeting, Team Leadership, Excel, Portfolio Management, Financial Services, Finance, Financial Advisory, Asset Allocation, Wealth Management, Series 63, Investment Strategies, Retirement, Series 65, Investment Management
Education
University of North Carolina at Charlotte 2002 — 2006
Bachlor of Science, Business Administration
University of North Carolina at Charlotte - Belk College of Business 2002 — 2006
Bachlor of Science, Business Administration and Management, General
Benedict Wong's UVEST Financial Services Experience April 2002 - June 2004
Job FixedIncome Portfolio Manager at Wells Fargo (Formerly Wachovia/Evergreen Investments)
Industry Investment Management
Experience
Wells Fargo (Formerly Wachovia / Evergreen Investments) October 2008 - Present
Wachovia (Evergreen Investments) July 2004 - October 2008
UVEST Financial Services April 2002 - June 2004
UVEST Financial Services August 1998 - April 2002
Legg Mason Inc. 1997 - 1998
Skills
Investments, Securities, Fixed Income, FX, Trading, Bloomberg Terminal, BondEdge
Education
McColl Graduate School of Business at Queens University of Charlotte 2007 — 2009
MBA, Finance
North Carolina State University 1991 — 1996
BA Multi Disciplinary Studies, Concentration: International Business
Myers Park HS
Wells Fargo (Formerly Wachovia / Evergreen Investments) October 2008 - Present
Wachovia (Evergreen Investments) July 2004 - October 2008
UVEST Financial Services April 2002 - June 2004
UVEST Financial Services August 1998 - April 2002
Legg Mason Inc. 1997 - 1998
Skills
Investments, Securities, Fixed Income, FX, Trading, Bloomberg Terminal, BondEdge
Education
McColl Graduate School of Business at Queens University of Charlotte 2007 — 2009
MBA, Finance
North Carolina State University 1991 — 1996
BA Multi Disciplinary Studies, Concentration: International Business
Myers Park HS
Brent Peddy's UVEST Financial Services Experience 2004 - 2006
Job Director, Operations and Controls, The Prudential Insurance Company of America, Newark, NJ and its affiliates
Industry Financial Services
Experience
Prudential Insurance Company of America March 2011 - Present
Nexity Financial Services May 2007 - February 2011
Hewitt Associates 2006 - 2007
UVEST Financial Services 2004 - 2006
DLJ Direct 2000 - 2003
DLJdirect / CSFBdirect / HARRISdirect 2000 - 2003
JC Bradford & Co. 1997 - 2000
Education
University of Mississippi 1990 — 1992
MBA, Finance
University of Mississippi - School of Business Administration 1985 — 1989
BBA 89, General Business
Prudential Insurance Company of America March 2011 - Present
Nexity Financial Services May 2007 - February 2011
Hewitt Associates 2006 - 2007
UVEST Financial Services 2004 - 2006
DLJ Direct 2000 - 2003
DLJdirect / CSFBdirect / HARRISdirect 2000 - 2003
JC Bradford & Co. 1997 - 2000
Education
University of Mississippi 1990 — 1992
MBA, Finance
University of Mississippi - School of Business Administration 1985 — 1989
BBA 89, General Business
Derek May's UVEST Financial Services Experience January 2007 - June 2008
Job Solutions Analyst at Impact Financial Systems Inc.
Industry Financial Services
Experience
Impact Financial Systems Inc. December 2013 - Present
Financial Resources Group, LLC August 2010 - December 2013
LPL Financial June 2008 - August 2010
UVEST Financial Services January 2007 - June 2008
Skills
Business Process..., Payroll, Management, Employee Benefits, Financial Reporting, Analysis, Financial Structuring, ADP Payroll, Ad Hoc Reporting, Compensation, Telecommunications, ADP, Business Analysis, Investments, Accounting, Leadership
Education
Davidson College 1999 — 2003
Bachelor of Science, Psychology
Davidson College 1999 — 2003
BS, Psychology
Impact Financial Systems Inc. December 2013 - Present
Financial Resources Group, LLC August 2010 - December 2013
LPL Financial June 2008 - August 2010
UVEST Financial Services January 2007 - June 2008
Skills
Business Process..., Payroll, Management, Employee Benefits, Financial Reporting, Analysis, Financial Structuring, ADP Payroll, Ad Hoc Reporting, Compensation, Telecommunications, ADP, Business Analysis, Investments, Accounting, Leadership
Education
Davidson College 1999 — 2003
Bachelor of Science, Psychology
Davidson College 1999 — 2003
BS, Psychology
Ryan Kohlbeck's UVEST Financial Services Experience March 2005 - March 2006
Job PR & Communications Director at Conover Insurance and Owner, Copernicus Design LLC
Industry Public Relations and Communications
Experience
Conover Insurance March 2007 - Present
Copernicus Design LLC June 2006 - Present
Kirkland Boys and Girls Club 2010 - May 2013
UVEST Financial Services March 2005 - March 2006
Royal & SunAlliance 1993 - 2005
Skills
Adobe Illustrator, Adobe Photoshop, Adobe InDesign, Adobe Acrobat, Microsoft Office, Corel Draw, Dreamweaver, Proposal Writing, Form Design, Print Design, Web Design, Illustrator, InDesign, Photoshop, Advertising, Graphic Design, Marketing, Public Relations, PowerPoint, Corporate Identity, Social Media Marketing, Corporate Branding, Marketing Communications, Copywriting, Microsoft Excel, Insurance, Public Speaking, Marketing Strategy
Education
Madison Area Technical College 1993 — 1994
Commercial and Advertising Art
University of Wisconsin-Madison 1990 — 1992
Conover Insurance March 2007 - Present
Copernicus Design LLC June 2006 - Present
Kirkland Boys and Girls Club 2010 - May 2013
UVEST Financial Services March 2005 - March 2006
Royal & SunAlliance 1993 - 2005
Skills
Adobe Illustrator, Adobe Photoshop, Adobe InDesign, Adobe Acrobat, Microsoft Office, Corel Draw, Dreamweaver, Proposal Writing, Form Design, Print Design, Web Design, Illustrator, InDesign, Photoshop, Advertising, Graphic Design, Marketing, Public Relations, PowerPoint, Corporate Identity, Social Media Marketing, Corporate Branding, Marketing Communications, Copywriting, Microsoft Excel, Insurance, Public Speaking, Marketing Strategy
Education
Madison Area Technical College 1993 — 1994
Commercial and Advertising Art
University of Wisconsin-Madison 1990 — 1992
Carolie Brekke's UVEST Financial Services Experience 2002 - 2005
Job Marketing Professional Graphic Designer and Copywriter
Industry Graphic Design
Experience
WordMagix January 1994 - Present
Charlotte ViewPoint Magazine 2004 - April 2010
US Navy April 2006 - January 2010
FunSpecs 1994 - 2009
UVEST Financial Services 2002 - 2005
Condar Company February 1998 - July 2002
Skills
Public Speaking, Graphic Design, Web Design, Blogging, Copywriting, Newsletters, Editing, Layout, Direct Mail, Marketing, Creative Writing, WordPress, InDesign, Copy Editing, Graphics
Education
Catawba College 1983 — 1987
Weaver Education Center
WordMagix January 1994 - Present
Charlotte ViewPoint Magazine 2004 - April 2010
US Navy April 2006 - January 2010
FunSpecs 1994 - 2009
UVEST Financial Services 2002 - 2005
Condar Company February 1998 - July 2002
Skills
Public Speaking, Graphic Design, Web Design, Blogging, Copywriting, Newsletters, Editing, Layout, Direct Mail, Marketing, Creative Writing, WordPress, InDesign, Copy Editing, Graphics
Education
Catawba College 1983 — 1987
Weaver Education Center
Dawn Heard's UVEST Financial Services Experience September 1998 - September 2000
Job Experienced Senior Compliance Specialist
Industry Financial Services
Experience
LPL February 2007 - Present
Bank of America March 2000 - September 2007
Bank of America (Contract) October 2006 - February 2007
UVEST Financial Services September 1998 - September 2000
Wachovia Bank January 1996 - January 1998
Wachovia Bank January 1991 - January 1996
Education
Queens University of Charlotte 1985 — 1989
LPL February 2007 - Present
Bank of America March 2000 - September 2007
Bank of America (Contract) October 2006 - February 2007
UVEST Financial Services September 1998 - September 2000
Wachovia Bank January 1996 - January 1998
Wachovia Bank January 1991 - January 1996
Education
Queens University of Charlotte 1985 — 1989
Denise Tognarina's UVEST Financial Services Experience July 2006 - January 2007
Job Assistant Vice President, Marketing Content & Communications
Industry Financial Services
Experience
LPL Financial July 2009 - Present
LPL Financial January 2007 - July 2009
UVEST Financial Services July 2006 - January 2007
Fidelity Investments 1998 - 2006
Skills
Training & Development, Marketing Communications, Project Planning, Instructional Design, E-learning, Content Development, Event Management, Event Marketing, Organizational Learning, Online Training, Strategic Communications, Corporate Communications, Communications Planning, Project Coordination, Presentation Development, Presentation Preparation, Presentation Coaching, Sales Support, Salesforce.com, Sales Process, E-Learning, Financial Services, Team Building, Leadership, Performance Management, Wealth Management, Team Management, Employee Training, Team Leadership, Process Improvement, Event Planning, Coaching, Project Management, Program Management, Management, Training, Marketing, Retirement Planning, Sales Operations, Relationship Management, Series 7, Strategic Planning, Sales, Organizational..., Marketing Strategy
Education
Southern New Hampshire University 2003 — 2006
MS
Southern New Hampshire University 1995 — 1998
BS
LPL Financial July 2009 - Present
LPL Financial January 2007 - July 2009
UVEST Financial Services July 2006 - January 2007
Fidelity Investments 1998 - 2006
Skills
Training & Development, Marketing Communications, Project Planning, Instructional Design, E-learning, Content Development, Event Management, Event Marketing, Organizational Learning, Online Training, Strategic Communications, Corporate Communications, Communications Planning, Project Coordination, Presentation Development, Presentation Preparation, Presentation Coaching, Sales Support, Salesforce.com, Sales Process, E-Learning, Financial Services, Team Building, Leadership, Performance Management, Wealth Management, Team Management, Employee Training, Team Leadership, Process Improvement, Event Planning, Coaching, Project Management, Program Management, Management, Training, Marketing, Retirement Planning, Sales Operations, Relationship Management, Series 7, Strategic Planning, Sales, Organizational..., Marketing Strategy
Education
Southern New Hampshire University 2003 — 2006
MS
Southern New Hampshire University 1995 — 1998
BS
Jeremy Hall, CFA, CPA's UVEST Financial Services Experience 2006 - 2007
Job Manager Business Analytics & Mgmt Reporting
Industry Investment Management
Experience
Wells Fargo Asset Management March 2007 - Present
UVEST Financial Services 2006 - 2007
Bank of America 2005 - 2006
PricewaterhouseCoopers 1999 - 2006
Skills
Corporate Finance, Financial Reporting, Mutual Funds, Accounting, Valuation, Financial Analysis, Financial Modeling, Portfolio Management, Due Diligence, Investments, Strategic Financial..., Financial Services
Education
Robert Morris University 1995 — 1999
MS, Accounting
Wells Fargo Asset Management March 2007 - Present
UVEST Financial Services 2006 - 2007
Bank of America 2005 - 2006
PricewaterhouseCoopers 1999 - 2006
Skills
Corporate Finance, Financial Reporting, Mutual Funds, Accounting, Valuation, Financial Analysis, Financial Modeling, Portfolio Management, Due Diligence, Investments, Strategic Financial..., Financial Services
Education
Robert Morris University 1995 — 1999
MS, Accounting
Juliann Lee's UVEST Financial Services Experience May 2008 - Present
Job Unit Supervisor, Bankers Life
Industry Insurance
Experience
UVEST Financial Services May 2008 - Present
Bankers Life and Casualty June 2006 - Present
Education
University of Illinois at Chicago
UVEST Financial Services May 2008 - Present
Bankers Life and Casualty June 2006 - Present
Education
University of Illinois at Chicago
Mark Noonan's UVEST Financial Services Experience August 2003 - April 2006
Job COO Global Sales Fixed Income Division
Industry Financial Services
Experience
Wachovia Securities April 2006 - Present
UVEST Financial Services August 2003 - April 2006
Education
Stony Brook University 1989 — 2005
BS, Physics
Wachovia Securities April 2006 - Present
UVEST Financial Services August 2003 - April 2006
Education
Stony Brook University 1989 — 2005
BS, Physics
Cedric Freeman's UVEST Financial Services Experience January 2011 - Present
Job Surveillance Specialist at UVEST Financial Services
Industry Financial Services
Experience
LPL Finanical November 2014 - Present
UVEST Financial Services January 2011 - Present
UVEST Financial/LPL January 2008 - Present
2004-2008 January 2004 - January 2008
Harrisdirect January 1999 - January 2004
State Employees Credit Union January 1997 - January 1999
H&R Block January 1995 - January 1999
Duke Medical Center (Diagnostic Clinic) January 1995 - January 1997
Skills
Training, Mutual Funds, Management, Analysis, Finance, Auditing, Trading, Software Documentation, Research, FINRA, Series 7, Investments, Securities, Asset Management, Risk Management, Banking, Accounts Payable, Financial Analysis, Retirement Planning, Investment Advisory, 401k, Portfolio Management, Series 63, Retirement, Financial Services, Wealth Management, Fixed Annuities, Financial Advisory, Fixed Income, Asset Allocation, Process Improvement, Microsoft Excel, Equities, Real Estate, Customer Service, IRAs, Outlook, Leadership, Team Building, Microsoft Word, Capital Markets, Alternative Investments, Mortgage Lending, Strategic Financial...
Education
Elizabeth City State University 1991 — 1995
Bachelor's degree, Accounting
Elizabeth City State University 1991 — 1995
Bachelor of Science Degree, Accounting
LPL Finanical November 2014 - Present
UVEST Financial Services January 2011 - Present
UVEST Financial/LPL January 2008 - Present
2004-2008 January 2004 - January 2008
Harrisdirect January 1999 - January 2004
State Employees Credit Union January 1997 - January 1999
H&R Block January 1995 - January 1999
Duke Medical Center (Diagnostic Clinic) January 1995 - January 1997
Skills
Training, Mutual Funds, Management, Analysis, Finance, Auditing, Trading, Software Documentation, Research, FINRA, Series 7, Investments, Securities, Asset Management, Risk Management, Banking, Accounts Payable, Financial Analysis, Retirement Planning, Investment Advisory, 401k, Portfolio Management, Series 63, Retirement, Financial Services, Wealth Management, Fixed Annuities, Financial Advisory, Fixed Income, Asset Allocation, Process Improvement, Microsoft Excel, Equities, Real Estate, Customer Service, IRAs, Outlook, Leadership, Team Building, Microsoft Word, Capital Markets, Alternative Investments, Mortgage Lending, Strategic Financial...
Education
Elizabeth City State University 1991 — 1995
Bachelor's degree, Accounting
Elizabeth City State University 1991 — 1995
Bachelor of Science Degree, Accounting
Bob Nadler's UVEST Financial Services Experience 2002 - 2005
Job Financial Services Professional
Industry Financial Services
Experience
American National Bank August 2014 - Present
First Citizens Investor Services 2009 - Present
UVEST Financial Services 2002 - 2005
Skills
Investments
Education
University of North Carolina at Greensboro 1976 — 1980
BA, Economics
American National Bank August 2014 - Present
First Citizens Investor Services 2009 - Present
UVEST Financial Services 2002 - 2005
Skills
Investments
Education
University of North Carolina at Greensboro 1976 — 1980
BA, Economics
Ashley Pace's UVEST Financial Services Experience 2005 - 2005
Job Solutions Architect at AAA Carolinas
Industry Information Technology and Services
Experience
AAA Carolinas June 2015 - Present
AlphaCM, Inc May 2014 - June 2015
AmWINS Group April 2012 - May 2014
AmWINS Group August 2010 - April 2012
Lance Inc. April 2001 - August 2010
UVEST Financial Services 2005 - 2005
Neomodal.com October 2000 - April 2001
Complete Business Solutions, Inc. April 2000 - July 2000
Computer Associates, Inc September 1998 - April 2000
Asset Protection Associates June 1998 - September 1998
Skills
SSAS, SSIS, SSRS, SQL Server 2000-2008, PL/SQL, T-SQL, .NET, Data Warehouse..., Data Warehousing, Microsoft SQL Server, Data Analysis, Analysis Services, SharePoint, XML, Business Analysis, Software Development, Business Intelligence, Database Design, Databases, SDLC, Oracle, Visio, SQL, ETL, Data Modeling, Dashboard
Education
University of North Carolina at Chapel Hill 1991 — 1995
BA
Williams 1987 — 1991
AAA Carolinas June 2015 - Present
AlphaCM, Inc May 2014 - June 2015
AmWINS Group April 2012 - May 2014
AmWINS Group August 2010 - April 2012
Lance Inc. April 2001 - August 2010
UVEST Financial Services 2005 - 2005
Neomodal.com October 2000 - April 2001
Complete Business Solutions, Inc. April 2000 - July 2000
Computer Associates, Inc September 1998 - April 2000
Asset Protection Associates June 1998 - September 1998
Skills
SSAS, SSIS, SSRS, SQL Server 2000-2008, PL/SQL, T-SQL, .NET, Data Warehouse..., Data Warehousing, Microsoft SQL Server, Data Analysis, Analysis Services, SharePoint, XML, Business Analysis, Software Development, Business Intelligence, Database Design, Databases, SDLC, Oracle, Visio, SQL, ETL, Data Modeling, Dashboard
Education
University of North Carolina at Chapel Hill 1991 — 1995
BA
Williams 1987 — 1991
Alden Burnett's UVEST Financial Services Experience January 2006 - June 2007
Job Registered Representative at Lincoln Investment Planning
Industry Financial Services
Experience
Lincoln Investment Planning May 2008 - Present
Allstate July 2007 - May 2008
UVEST Financial Services January 2006 - June 2007
First Investors Corporation November 2004 - January 2006
21st Century Building Products / Muench Woodworking May 1997 - November 2004
Skills
Retirement Planning, Life Insurance Planning, 401k Plans, Mutual Funds, Estate Planning, Long Term Care, Series 7, Series 66, Investment Advisory, Asset Allocation, Series 63, Wealth Management, Investments, Annuities, Asset Management, IRA's, Retirement, Disability Insurance, Wealth Accumulation, Roth IRA, 401k Rollovers, College Savings Plans, Retirement Income..., Small Business, Fixed Annuities
Education
Illinois State University 1979 — 1983
Bachelor of Arts, Communications, 3.2
York High School
Lincoln Investment Planning May 2008 - Present
Allstate July 2007 - May 2008
UVEST Financial Services January 2006 - June 2007
First Investors Corporation November 2004 - January 2006
21st Century Building Products / Muench Woodworking May 1997 - November 2004
Skills
Retirement Planning, Life Insurance Planning, 401k Plans, Mutual Funds, Estate Planning, Long Term Care, Series 7, Series 66, Investment Advisory, Asset Allocation, Series 63, Wealth Management, Investments, Annuities, Asset Management, IRA's, Retirement, Disability Insurance, Wealth Accumulation, Roth IRA, 401k Rollovers, College Savings Plans, Retirement Income..., Small Business, Fixed Annuities
Education
Illinois State University 1979 — 1983
Bachelor of Arts, Communications, 3.2
York High School
Natasha Towner's UVEST Financial Services Experience 2004 - 2008
Job Operations/Stock Broker at Vanguard
Industry Financial Services
Experience
Vanguard 2011 - Present
Wachovia, A Wells Fargo Company January 2009 - February 2010
UVEST Financial Services 2004 - 2008
TIAA-CREF 2001 - 2004
Skills
Leadership, Finance, Banking, Analysis, Investments
Education
Pfeiffer University
BBA, Business Administration
Erie Community College
A.A.S, Business Administration
Vanguard 2011 - Present
Wachovia, A Wells Fargo Company January 2009 - February 2010
UVEST Financial Services 2004 - 2008
TIAA-CREF 2001 - 2004
Skills
Leadership, Finance, Banking, Analysis, Investments
Education
Pfeiffer University
BBA, Business Administration
Erie Community College
A.A.S, Business Administration
LaTonya Key's UVEST Financial Services Experience April 2004 - September 2005
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
CONNIE KLAPISZ's UVEST Financial Services Experience INVESTMENT EXECUTIVEFIFTH THIRD2012 - Present
Job Financial Consultant at UVEST Financial Services
Industry Financial Services
Experience
UVEST Financial Services INVESTMENT EXECUTIVEFIFTH THIRD2012 - Present
Fifth Third Bank 2012 - Present
BULLY POLICE 2009 - 2010
Marina Bank 1978 - 1985
Skills
Portfolio Management, Finance, Mutual Funds, Banking, Investments, Asset Managment
Education
Benedictine College 1974 — 1977
BA, ENGLISH
Benedictine College 1974 — 1977
BA, ENGLISH
UVEST Financial Services INVESTMENT EXECUTIVEFIFTH THIRD2012 - Present
Fifth Third Bank 2012 - Present
BULLY POLICE 2009 - 2010
Marina Bank 1978 - 1985
Skills
Portfolio Management, Finance, Mutual Funds, Banking, Investments, Asset Managment
Education
Benedictine College 1974 — 1977
BA, ENGLISH
Benedictine College 1974 — 1977
BA, ENGLISH
Alberto Li's UVEST Financial Services Experience April 2006 - December 2009
Job Managing Director at Sanctus Seraphin Family Office
Industry Financial Services
Experience
Sanctus Seraphin Family Office September 2012 - Present
First Bank of Miami / Western January 2010 - August 2012
UVEST Financial Services April 2006 - December 2009
Wachovia Securities /Prudential Financial November 1997 - April 2006
Skills
Banking, Strategic Financial..., Series 7, Series 65, Series 63, Investment Advisory, Wealth Management
Education
Florida International University - College of Business Administration 1972 — 1977
Bachelor's degree, Accounting and Finance
Belen Jesuit Prep
Sanctus Seraphin Family Office September 2012 - Present
First Bank of Miami / Western January 2010 - August 2012
UVEST Financial Services April 2006 - December 2009
Wachovia Securities /Prudential Financial November 1997 - April 2006
Skills
Banking, Strategic Financial..., Series 7, Series 65, Series 63, Investment Advisory, Wealth Management
Education
Florida International University - College of Business Administration 1972 — 1977
Bachelor's degree, Accounting and Finance
Belen Jesuit Prep
Michael Colen's UVEST Financial Services Experience 2004 - 2010
Job Finance & Business Manager at Apple Ford
Industry Automotive
Experience
Apple Ford May 2014 - Present
Apple Nissan April 2011 - May 2014
Bethpage Financial Services September 2004 - October 2010
UVEST Financial Services 2004 - 2010
Essex National Securities January 2004 - September 2004
Quick & Reilly November 2002 - January 2004
Independent Financial Marketing Group @ Astoria Federal Savings November 1997 - November 2002
Education
State University of New York College at Oneonta 1981 — 1985
Bachelors, Economics
Apple Ford May 2014 - Present
Apple Nissan April 2011 - May 2014
Bethpage Financial Services September 2004 - October 2010
UVEST Financial Services 2004 - 2010
Essex National Securities January 2004 - September 2004
Quick & Reilly November 2002 - January 2004
Independent Financial Marketing Group @ Astoria Federal Savings November 1997 - November 2002
Education
State University of New York College at Oneonta 1981 — 1985
Bachelors, Economics