I work together with clients to understand and meet their financial needs. I specialize in retirement planning and asset management.LPL Financial is the nation's largest Independent Broker-Dealer** As reported by Financial Planning magazine, June 1996-2019, based on total revenue.Securities and advisory services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC. For hyperlinks to FINRA and SIPC, please refer to the contact info section. Third party posts found on this profile do not reflect the views of LPL Financial and have not been reviewed by LPL Financial as to the accuracy or completeness. The LPL Financial registered representatives associated with this website may discuss and/or transact business only with residents of the states in which they are properly registered or licensed. No offers may be made or accepted from any resident of any other state.CA Insurance Lic# 0K05199

Part of a team of retirement planning specialists that terminating plan participants can access for support with retirement planning and rollover services. This support includes explaining the various options available to a terminating plan participant, answering questions about and assisting with completing rollover paperwork, developing individualized financial plans appropriate to terminating participants, facilitating introductions to independent wealth management advisors who stand ready to help participants with advised investment solutions, and even completing paperwork on the participants behalf to help facilitate the opening of a new account. Essential Functions:• Handling outbound and inbound calls with participants, Plan Advisors and Wealth Management Advisors. Process operational transactions/data input as needed.• Research complex situations and define the actions necessary to resolve the situation. Assume ownership of the inquiry and see it through to a timely resolution. • Actively participate in customer service training and other training to remain current with operational policies and procedures.• Provide regular feedback to the Retirement Rollover Desk Management team to improve both the advisor experience and operational efficiencies.• Communicate operational and financial industry policies and procedures.• Leverage technology to provide business strategies to financial advisors and plan participants.

Selling self-directed retirement accounts via high touch concierge service. Working directly with clients to rollover qualified retirement plans. Acting as a subject matter expert for retirement accounts.Achievements$4 million in new assets per quarter75 new accounts per quarter25 full service referrals per quarterTop 25% - incentive plan 1st and 2nd quarter 201196% average quality score 3rd quarter 2011ResponsibilitiesFacilitating individual and business retirement account openingRetaining business with at risk clientsOutbound calling campaigns - Contacting clients that have dormant accounts and out of use money market funds.Conducting client needs analysis to determine tax and investment goalsSafeguarding client information through authentication protocolComplying with FINRA regulations and disclosuresPlacing stock and mutual fund tradesContacting retirement plan administrators to facilitate rollover process

Sold financial advice regarding life insurance, disability insurance, 529 plans, retirement and estate planning.Conducted prospecting lunch meetings350 prospecting phone calls per weekConducted in person sales meetingsDeveloped strong relationships with existing clientsPrepared detailed financial plans