CA Insurance License #0A34326

Generated new business through the recruitment of new advisers, mainly from current business relationships and a strong reputation in the industry. Managed a team of 10 professionals and approximately 150 independent contractors.• Spearheaded the “Women of JW Cole”, resulting in an inspired group of female advisers who felt appreciated and motivated to refer their female friends to our firm.• Accountable for retention of all Financial Advisers merged to JW Cole from Financial Advisers of America, resulting in an astounding 100% retention of advisors and a final transfer of over $4 Billion in Assets Under Management. • Consistently emphasized strong communication, loyalty and honest relationships.• Created numerous new revenue streams for the firm through the introduction of new fee payout schedules, and introduced untapped revenue streams that increased profitability in new areas.• Led the firm in the implementation of innovative new processes and departments which were flawlessly integrated into this firm from Financial Advisers of America.

Headed the development and implementation of all revenue streams throughout the firm. Led all adviser-recruiting efforts of the firm. Hired, mentored, managed and inspired all staff of the firm. Conducted annual E & O Insurance negotiations. Responsible for development of the company Regional Management systems and processes. Led a team which dealt with the constant changing regulatory environment including audit preparation, audit completion, maintaining/updating of Written Supervisory Procedures, participation in regular FINRA regional meeting, weekly meetings with the Executive Team and Chief Compliance Officer, and so on. Traveled countrywide to visit existing offices, potential new offices, conduct office audits/events, attend conferences and Regulatory Meetings.• Strengthened the company’s business through the development of productive, long-term professional relationships throughout the firm and industry as a whole.• Spearheaded cross-functional initiative to achieve paperless processes firm wide, reducing related administrative costs by over 35%.• Deftly managed an in-house team of 22 professionals and up to 150 independent contractors.• Negotiated and oversaw the complete company acquisition to JW Cole Financial, ultimately resulting in 100% adviser and employee retention.• Elevated from Vice President of Recruiting to one of the few female leaders in the industry as the President and CEO after exceptional performance and outstanding demonstration of work ethic.