Richard Chaney work email
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Richard Chaney personal email
Richard Chaney is a Marketing Regulatory Analyst. He is proficient in French.
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Sr. Analyst - Marketing Regulatory ReviewLpl Financial May 2014 - Sep 2019Principal review and approval of marketing materials for RIA and non-RIA advisors with LPL Financial across multiple channels (independent advisor services, institutional services and retirement plan services). Review includes marketing materials, sales literature and various forms of stationery items all reviewed through web-based proprietary and non-proprietary compliance tools to ensure compliance with firm and regulatory standards. Conduct review consultations with advisors and their staff to interpret compliance guidelines and negotiate suitable options where warranted. -
Compliance ConsultantH.D. Vest Financial Services Apr 2012 - May 2014As a Compliance Consultant at H. D. Vest, Richard was responsible for delivering timely reviews of advisor correspondence and investment communications developed by the firm as well as H. D. Vest advisors in accordance with regulatory and firm compliance guidelines to prevent regulatory risk to advisors and the firm. -
Wealth Management ConsultantHd Vest Financial Services 2006 - Apr 2012Irving, TexasAs a Wealth Management Consultant, I provided financial planning phone support for a region of tax professionals who were also licensed to sell various types of investment and insurance products. Duties included: cross selling various investment and insurance products, case analysis (including financial modeling), providing technical product support on insurance, qualified plans, fee-based services, mutual funds and unit investment trusts; instructing advisors on building the investment business and integrating it into the tax practice; maintaining relationships with internal and external product sponsors; coordinating materials and/or additional information to be supplied to product sponsors; initiating and educating new advisors to product sponsors and/or options. Provide advisors with portfolio allocations and product recommendations while monitoring and tracking advisor contact to ensure compliance with department goals and standards. Served as senior team lead to assist in the development of new sales desk consultants through training and coaching. Instrumental in developing and enhancing new advisor development program to improve advisor acquisition of financial planning and practice management related concepts and to drive sales benchmarks.
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Retirement Investment SpecialistFidelity Investments Dec 1999 - Mar 2005
Richard Chaney Skills
Richard Chaney Education Details
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Psychology
Frequently Asked Questions about Richard Chaney
What is Richard Chaney's role at the current company?
Richard Chaney's current role is Marketing Regulatory Analyst.
What is Richard Chaney's email address?
Richard Chaney's email address is rg****@****ell.net
What schools did Richard Chaney attend?
Richard Chaney attended Spring Hill College.
What skills is Richard Chaney known for?
Richard Chaney has skills like Compliance, Compliance Operations, Compliance Implementation, Compliance Procedures, Federal And State Regulatory Compliance, Series 7, Series 63, Series 24, Wealth Management Services.
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Richard Chaney
Meridian, Id4domainechaney.com, americansemi.com, nextscan.com, nextscan.com7 +120889XXXXX
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