Director Of Operations
Current• Quadrupled assets-under-management from $35M to over $140M, averaging $7.5M annually - 100% word-of-mouth client base founded on rock solid referral-based relationship building• Rigorously maintain and service 600+ client accounts - Plan and create more than 50 client recommendations and investment proposals from start to finish annually, generating roughly 40 new accounts per year - Execute over 3,000 security trades yearly - Generate and process 100% incoming account transfers and retirement plan rollovers annually• Plan & Facilitate 800+ investment meetings annually - Analyzing and project income step-ups for over 120 variable annuity contracts - Scrutinize actual market value versus target on each contract to relative quarterly and annual 'look-back' dates to lock in projected income increases• Created and maintain entire branch office policies & procedures for continual SEC/FINRA compliance - Responsible for ongoing knowledge of industry regulatory changes such as Secure 2.0, RegBI, The CARES Act, etc. and implementation of legal changes - Passed over 12 branch office compliance exams (audits) with flying colors• Generate over 30 projected ‘Sources of Income in Retirement’ projections per year giving clients peace of mind for realistic hypothetical retirement income based on current and future assets using hypothetical growth rates, COLA, inflation, and federal and state taxation - Projections analyze and project hypothetical minimum income step-ups for over 120 variable annuity contracts
