My life in the securities industry started in 1999 and lead me to work with clients, advisors and regulators as we work to improve how investors are served. With clients, I focus on retirement plan advisory services. With advisors, I work to make sure they have the structure and support to serve their clients through our firm. And with regulators, I dedicate time and energy to ensure small firms are well represented in regulatory matters. My skills include retirement plan advisory services, fiduciary advisory, FINRA/SEC/MSRB regulations, asset management, trading, and fixed income offerings, both primary and secondary. Strong business development skills and Certified Regulatory and Compliance Professional Executive Education from FINRA Institute at The Wharton School.