Marco Ramirez Email & Phone Number

Saint Louis, MO

Responsible for developing, implementing, communicating, and reviewing the corporate policies, procedures, trends and work systems designed to enable the broker-dealer and investment advisory practice to effectively manage risk and remain in compliance with the various regulatory authorities. Responsible for ensuring the firm’s reporting obligations comply.

Lynchburg, Virginia

Saint Louis, Missouri

• Reviewed the organization along with financial advisors for compliance with all applicable state and federal security laws.
• Administered daily reviews and monitored over $100 million dollars worth of client assets.
• Conducted yearly audits of financial advisors offices throughout the United States.

Ann Arbor, MI

• Managed a team responsible for increasing assets under management by $120 million dollars during fiscal year 2005-2006.
• Increased managed assets by 225% during my first year of employment.
• Actively placed outbound and inbound sales calls in order to increase assets for actively managed third party money managers.
• Maintained and developed relationships with more than 400 registered investment advisors.

Woodland Hills, CA

• Executed hundreds of inbound calls from financial firms and clients concerning variable annuities and other financial products.
• Performed daily stock and mutual funds trades using automated programs within client portfolios.
• Provided information to financial representatives concerning Sun America investment products.

Juris Doctor, Law

Bs, Business Administration