Construction oversight and supervision on high end custom multi million dollar projects at exclusive Montecito, CA estates with wide ranging scope; additions, kitchen & bath, outdoor kitchens, pools, wine cellars and a variety of other custom features.

As a financial services professional, I focused on and remained in the discount sector for ethical reasons. However, due to mergers/acquisitions and the resulting shrinkage I found myself without a position several times throughout that part of my career. I generally always fell back on construction to get me through those difficult times. Thus a wide range of years displayed in this category.

•Proactive business development to grow branch assets and present guidance solutions•Promote firms award winning platforms, Amerivest Portfolios and Advisor Direct•Offer education, fixed income and guidance solutions

*Responsible for overall compliance of the branch•Daily review of all trading activity for accuracy, suitability, fund switching ….•Correspondence approval and review•E-mail surveillance•Client account updates/review•Supervision and reviews for sales assistants and branch administrator•Procurement and office equipment maintenance

•Review and supervision of daily brokerage operations•Responsible for branch compliance with internal company policy and applicable FINRA, SEC regulations•Monthly/Quarterly Supervision of Financial Consultants’ sales and service activities including all advice interactions and program enrollments•Address complex client issues and provide appropriate solutions•Analyze and resolve verbal complaints•Planning and facilitation of branch events/seminars•Supervise and train… Show more •Review and supervision of daily brokerage operations•Responsible for branch compliance with internal company policy and applicable FINRA, SEC regulations•Monthly/Quarterly Supervision of Financial Consultants’ sales and service activities including all advice interactions and program enrollments•Address complex client issues and provide appropriate solutions•Analyze and resolve verbal complaints•Planning and facilitation of branch events/seminars•Supervise and train other licensed/unlicensed client service representatives Show less

•Review and assignment of designated option trading level for new account option agreements, a key resource to risk management•Supervision /review of option transaction trading blotters which led to discovery of a programming error saving the firm from potential losses•Consultant to firm’s nationwide branch managers, registered representatives and compliance officers on option-related operational issues(assignment, margin calls, non-standardized options resulting from mergers… Show more •Review and assignment of designated option trading level for new account option agreements, a key resource to risk management•Supervision /review of option transaction trading blotters which led to discovery of a programming error saving the firm from potential losses•Consultant to firm’s nationwide branch managers, registered representatives and compliance officers on option-related operational issues(assignment, margin calls, non-standardized options resulting from mergers, acquisitions and splits)•The firm’s key figure in discovery and resolution of broker, customer and order entry clerk errors in regard to option transactions•Consistently relied upon by firm’s compliance department in regard to adherence to SEC, FINRA, CBOE and other SRO’s rules and regulations•Supervised staff of order entry personnel and the trading activity of all registered employees at headquarter and branch offices nationwide•Annual review and update/revision of policies and procedures including suitability and margin maintenance requirements Show less

Registered Representative/Assistant Branch ManagerAs a Registered Representative from day one of the branch office’s inception to the abrupt close of all branch offices three years later responsibilities included:•On the phone execution of NASDAQ, listed and option transactions•Customer walk-in activities including receipt of securities/funds and or account documents•Consistently error free in an extremely high volume environment•Within the top five percent of call volume in… Show more Registered Representative/Assistant Branch ManagerAs a Registered Representative from day one of the branch office’s inception to the abrupt close of all branch offices three years later responsibilities included:•On the phone execution of NASDAQ, listed and option transactions•Customer walk-in activities including receipt of securities/funds and or account documents•Consistently error free in an extremely high volume environment•Within the top five percent of call volume in a group of sixty plus brokers nationwide•Responsible for training new incoming representatives Show less