•Transitioned entire book of business to new broker dealer (LPL Financial) with 90% client and asset retention. •Played instrumental role in growing assets under management from $9 million at time of hire to more than $35 million. •Attained Director’s Club status for ranking in top 10% nationally through LPL Financial.•Designed new client database that streamlined and improved client relations. •Improved overall efficiency of office due to ability to perform cross-functional roles.•Worked with the state of CA, LPL, and an RIA firm to create all of the appropriate ADV disclosures for new firm, Park Capital Group, Inc., and transitioned all advisory accounts to the new RIA entity.•Managed conversion of all fee-based accounts into advisory accounts due to SEC regulations. •Manage day-to-day, quarterly and annual compliance, ensuring adherence to all regulatory guidelines.•Identify clients’ risk tolerances and create customized financial solutions aligned with meeting or exceeding clients’ financial and retirement goals. •Create and manage 401k and defined benefit plans, working with the client's CPA and TPA to make sure the appropriate actions are taken. •Lead internship program, teaching interns about the company and advising on obtaining school credit.•Provide financial planning and investment strategies to diverse client base encompassing approximately 200 high-net worth customers. •Market retirement plan consulting, REITs, Alternative Investments, and Life Insurance products through one-on-one and group presentations.

•Purchased fledgling business and provided strategic direction for business growth resulting in 300% profit at time of sale in 2012. •Increased volume of clients and revenue by 150% through innovative social media marketing strategies and delivery of consistent, high quality member service. •Executed all financial management of organization including business analysis, development of P&L statements, accounting, budgeting, and procurement of equipment. •Negotiated with vendors regarding payment solutions, tracked payroll, and performed scheduling.

Investment Team Leader (2005 – 2006)•Guided team of Investment Representatives in daily execution of tasks associated with the promotion of mutual funds and related investment products. •Resolved complex client service issues, monitored performance of individual team members, and coached employees aimed at driving productivity.•Fostered team atmosphere resulting in cohesive unit aligned with attainment of performance objectives involving business development and client satisfaction. •Selected to promote New Employee Investment Program to Deutsche Bank employees. Investment Associate (2004 – 2005)•Maintained effective and professional presence with shareholders and brokers resulting in the promotion of firm’s brand within the investment community. •Handled challenging account issues through expert communication with brokers, producers, shareholders, and financial advisors. •Consistently met or exceeded client service metrics as outlined in quality program. •Provided recommendations to Senior Leadership that led to improvement of departmental processes.Investment Representative (2003 – 2004)•Portrayed exceptional knowledge of mutual fund industry including evaluation of economic conditions, market trends, and product offerings. •Provided telephone support to shareholders and financial advisors of DWS Scudder’s Mutual Fund products and services. •Collaborated with Transfer Agent to resolve internal inquiries regarding fund and account errors.