Lois Gregson, Cfp® Email & Phone Number

Chicago, Illinois, United States

I provide clarity to the vast amount of information regarding exchange-traded funds.

St. Louis, Mo

Chicago, Il

Greater St. Louis Area

Developed, lead and maintained the long-term strategies to support the growth of the firm's mutual fund and ETF business. Specifically, ensuring regulatory compliance for handling mutual fund transactions. Contracting with appropriate research providers to providing the mutual fund and ETF Select Lists. Served as subject matter expert for programs relating to mutual funds and ETFs.

Greater St. Louis Area

Responsibilities include handling all aspects of due diligence, research and marketing of Exchange Traded Products (ETPs) for 2,000+ retail advisors. Establishing an on-boarding process for new product review and trading. Responsible for the development and maintenance of the firm’s ETF recommended list. Provide guidance to advisors regarding specific selection of ETP products. Utilize both fundamental and technical research to provide sales ideas and guidance. Highlight ETPs that could be used to pursue the investment outlook of the firm’s research analysts. Develop and maintain an ETF model portfolio based on relative strength.Present ETF information during VIP client meetings and Financial Advisor recruiting meetings whenrequested. Collaborate in the development of the firm’s compliance policies regarding ETPs.Responsibilities also included training and managing department staff. In addition, control departmental expenses.

St. Louis, Missouri

Responsibilities included providing guidance to advisors regarding option strategies to pursue various investment objectives. Review accounts to ensure compliance with the firm’s policies and approve client suitability for strategies. Collaborate with the technology department in regards to establishing an automated approval process for option trading. Conducted training sessions for advisors and associates regarding the options market and strategies. In addition, I provided training, education and strategy guidance for the use of Exchange Traded Products.

Responsibilities included providing guidance to advisors regarding option strategies to pursue various investment objectives. Review accounts to ensure compliance with the firm’s policies and approve client suitability for strategies. I collaborated with our technology department in regards to establishing an automated approval process for option trading. I was responsible for conducting training sessions for advisors and associates regarding the options market and strategies.In addition, I provided training, education and strategy guidance for the use of Exchange Traded Products.

Responsible for fostering and maintainingpositive employee relations. Worked with Department Managers to recruit, interview and developassociates. I worked in conjunction with the Chief Executive Officer to cultivate company culture.