Ryan Newby Email & Phone Number

Implements operational risk control for government accounts based upon Investment Policy Statement and other client account documentation. Identify portfolio allocations, rules and state statutes to manage Investment Policies for government entities and work with Financial Advisers to adhere to Investment Policy goals and objectives. Attained series 66 license.

Draper, Ut

•Identified opportunities within financial markets to generate income trading options, equities and other securities, manage and rebalance portfolio to mitigate risk and adhere to account objectives. •Experience with Fidelity Investments, TD Ameritrade, Charles Schwab and other broker/dealers for trade execution, market and position research and performance reporting. •Knowledgeable with technical analysis to capitalize on market momentum while applying risk strategically.

Draper

Director of operations and account management for registered Commodity Trading Advisor (CTA). Traded fund's portfolio, managed client data, documentation and reporting. Responsible for risk assessment and trade analysis. Attained series 3.

Draper, Ut

American Fork, Ut

•Series 9 & 10 Licensed•Responsible for coaching and leadership to service team of 15 financial representatives with focus on exceptional client service, trade accuracy, process improvements and training on investment/trading knowledge. Managed financial services team's process: trade escalations - equities, fixed income, mutual funds, multi-leg options: SEC/FINRA Compliance and firm policy training, review of client interactions to measure and enhance customer experience.

West Valley, Ut

•Series 7 & 63 Licensed•Analyzed cost basis for unrealized and realized positions within client accounts and managed Corporate Action (mergers, spin-offs, splits) adjustments.•Managed quality review for monthly statement’s Gain and Loss data. •Developed curriculum and taught new hire training within the department.