Dianne K. Davis, Cfp®, Cpwa® Email & Phone Number

San Diego, California, United States

- Training new Investment Supervision Principals joining the Account Supervision team.- Staying abreast of Regulatory and Policy Changes in the Industry, and providing team education.- Implement an annual Account Supervision training program.

San Diego, Ca

• Specialize in the suitability review & team education of Annuities, including Variable, Fixed-Indexed, Structured, and Advisory Fee-Based contracts. • Identify gaps and develop procedures to mitigate areas of risk in the current complex suitability landscape.• Take ownership of all suitability-challenged cases, determine approval or rejection while maintaining a positive relationship and education for future transactions.

San Diego, California

• Team lead providing education and guidance for complex supervision scenarios, focusing on annuity education of new products and suitability red flags.• Educate new staff members, holding one-on-one training as needed and presenting at Commonwealth 101 quarterly home office training.• Escalating suitability areas of concern for review at VA Committee, reviewing trends, and heightened review as needed.

San Diego, California

• Provide suitability review of direct business, including mutual funds, 529s, fixed-indexed and variable annuities, and alternative investments with a high level of accuracy.• Educating advisors on home office procedures, paperwork, and suitability concerns.• Transition Advisor Liaison, providing guidance to new advisors regarding firm policies, procedures and paperwork requirements.

Coronado, Ca

• Provided client service and back office support for several in-house advisors, opening accounts, enacting financial plans and providing client service via BranchNet.• Achieved Series 24 registration to act as Designated Principal for the OSJ, assuming responsibility for all facets of compliance in our day-to-day operations• Managed process to change to Hybrid RIA to reduce costs by $30,000 in administrative fees and gain flexibility for local marketing efforts.

Newport Beach, Ca

• Collected more than $200,000 in unpaid management fees and maintained an ongoing zero balance with no aged receivables.• Achieved Series 9 & 10 (8) registration to serve as acting supervisory compliance officer for the Newport Beach branch office.

Valencia, Ca

• Facilitated education of banking center team members by developing cross-selling strategies to improve customer service and increase sales.• Counseled clients to determine financial goals and create a strategic financial plan.

Seal Beach, Ca

• Increased client referrals by 50% by instituting a client support plan and quarterly meeting schedule in response to the tech bubble bursting in 2000.• Deepened client relationships by acting as primary point of contact, freeing up 75% of advisor’s time and reinforcing investment plan objectives to keep clients on track.

Van Nuys, Ca

M.A., Speech Communication

B.A., Communication Studies