Designated to be a subject matter expert for broker-dealer supervision systems. Supervise periodic system releases and major upgrades that impact the firms supervision departments, including participating in quality assurance and user acceptance testing. I also assist with many of the ad hoc reporting requests related to the firm’s supervision activities.

Managed a team of 6+ securities principals who conduct suitability reviews and issue approvals of variable annuity and non-traded alternative investments transactions submitted by advisors of all four affiliated independent broker dealers under Advisor Group (Royal Alliance Associates, Woodbury Financial Services, SagePoint Financial, and FSC Securities). Responsible for staffing, training, daily work-flow monitoring and quality assurance reviews. Provided secondary reviews for cases that exceed broker dealer guidelines and a primary point for escalation of rejected transactions.

Conducted suitability reviews of business requiring firm pre-approval for all four broker dealers under Advisor Group (now Osaic). Transactions reviewed primarily involved, but were not limited to non-exchange traded REITs, 1031 exchanges, and variable annuity initial purchases and replacements. I was made a team lead for the department in July 2016.

RJL Wealth Management is a comprehensive, independent investment advisory firm that offers financial planning and investment management for retirees and those nearing retirement. In my role as a support advisor and registered sales assistant my duties included providing a wide range of client servicing support, assistance with financial plan preparation, and advance preparation for advisor-client review meetings. In addition, I was given the opportunity to develop a handful of custom objects and applications for the SalesForce.com environment.

Planners Resource Group was a small insurance marketing company providing independent insurance producers and financial planners access to fixed life insurance, fixed annuities, long term care, and disability income insurance solutions. Services offered to our clients focused on illustration and pre-sale support, case management, and product research. In addition to working with our clients in all aspects of the company's services, I had the opportunity to develop many of the technologies used by the firm to maximize the productivity of our small office. These projects were often database driven web sites and applications using open source resources and technologies such as PHP, JavaScript, Ajax, Apache, and MySQL.Web Application Development, July 2003 to July 2009General Operations, 2004 to July 2009Residual Business Operations, July 2009 to July 2014LLC Member, December 2010 to July 2014