Supervise Hybrid Registered Investment Advisors per FINRA Rule 94/44. Review and approve Form ADVs, Firm Brochures and Client Agreements. Review and approve outside business activities. Review Advisory accounts for correct asset allocation per client's investment objectives. Review client accounts for proper Advisory fees. Review Advisor trades. Review client accounts for incorrect allocations of leveraged/inverse exchange traded funds, low priced and unlisted equities, structured products and high yield/below investment grade bonds. Review Advisor trades for evidence of Front Running. Detect potential violations in firm policies and procedures. Assist with Branch Examinations.

• Execute UIT and mutual fund trades accurately in a fast paced, deadline driven environment.• Train LPL/AXA Advisors on the trading functions of BranchNet. Explain UIT and mutual fund trading procedures and regulations.• Answer 50-70 inbound calls per day; make outbound calls to Advisors regarding trade corrections. • Prepare breakpoint reports to ensure regulatory compliance. • Execute mutual fund trade instructions from clients.• Adhere to trading requirements and exceptions dictated by Fund Sponsors.• Approve as Principal after hour and large dollar trade blotters.

Supported the Contract Administration and Pricing Departments.Inputted service contracts and amendments into APL's Rate Management SystemAudited service contracts ensuring data accuracy. Maintained Governing Tariff, updating surcharges.Resolved any questions or issues presented to the RMS staff. Helped raters interpret service contracts and rate bills of lading correctly.