Robert Handley work email
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Robert Handley personal email
I am a Financial Services Professional with over 20 years experience in Compliance, Operations and Sales.Licenses: Securities: Series 7, 63, 65, 24, 53 and 4.Insurance: Life, Accident and HealthSpecialties:Social Media supervisionSales Material Review
Citizens Investment Services (Citizens Securities, Inc.)
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Vp, Regional Administrative Officer I At Citizens Investment Services.Citizens Investment Services (Citizens Securities, Inc.) Jun 2014 - Present
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Sr Agency Compliance ConsultantBarnum Financial Group, An Office Of Metlife Feb 2010 - Mar 2013•Supervised 200+ Linkedin profiles to ensure compliance with both FINRA and firm policy.•Conducted 120+ annual compliance reviews of representatives to ensure proper business practices and file-retention policies are followed.•Inspected detached offices semi-annually to ensure adherence to firm guidelines.•Reviewed sales material for the firm.•Approved incoming and outgoing correspondence for the OSJ/detached offices daily/monthly.•Reviewed and approved new account documents.•Assisted with new hire training by presenting compliance requirements in training classes.
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Compliance Officer/Client Relationship ManagerNorthstar Wealth Partners, Llc Nov 2008 - Feb 2010•Acts as the OSJ Delegate for the branch functioning as the on-site Branch Manager. •Signs processed paperwork as Branch Manager or Registered Principal.•Reviews and approves daily trade blotter for suitability including Annuity orders.•Reviews and approves email correspondence to detect possible customer complaints.•Submits advertising transmittals to Advertising Compliance for review.•Maintains required Branch Office Compliance Files.•Responsible for processing all paperwork and forms for new recruits.•Transitions new recruits into their new role through LPL/Northstar
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Senior Securities Servicing RepGenworth Financial Aug 2003 - Sep 2008Glen Allen, Virginia, Us•Provided customer service to Genworth Securities Brokers and Clients serving as a resource in required paperwork, compliance issues, and day to day maintenance of client accounts.•Responsible for placing trades in stocks, bonds, mutual funds, and options for all of Genworth Financial Securities. Also acted to resolve trade errors, corrections, rebilling, etc.•Acted as Registered Rep in Charge when supervisors are not on site.•Supervised and resolved issues regarding rejected transfers, credit violations, and generally all other ACAT related issues.•Evaluated and signed Replacement/Switch forms pertaining to pending orders.•Identified and cleared insufficient funds checks presented for payment daily.•Instructed newer team members in policies and procedures.•Handled Client Suitability issues and other projects as required.•Tracked incoming account debits and notifies individual Reps in a timely manner. -
Financial ConsultantJanney Montgomery Scott 1996 - 2003Philadelphia, UsFinancial Consultant•Opened new accounts through a variety of sales techniques such as cold calling and seminars. Sales Assistant •Managed daily back office functions in addition to correspondence, problem solving, client relations, interoffice relations and other tasks. Order Entry Clerk•Handled Broker’s trade order entry and trade corrections for a wide variety of financial products such as Stocks, Bonds, and Mutual Funds. -
Various PositionsSt. Vincent Medical Center Jun 1985 - Jan 1996Los Angeles, California, Us
Robert Handley Skills
Robert Handley Education Details
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University Of Connecticut
Frequently Asked Questions about Robert Handley
What company does Robert Handley work for?
Robert Handley works for Citizens Investment Services (Citizens Securities, Inc.)
What is Robert Handley's role at the current company?
Robert Handley's current role is VP, Regional Supervisory Officer at Citizens Investment Services (Citizens Securities, Inc.).
What is Robert Handley's email address?
Robert Handley's email address is ro****@****ast.net
What schools did Robert Handley attend?
Robert Handley attended University Of Connecticut.
What skills is Robert Handley known for?
Robert Handley has skills like Series 7, Risk Management, Wealth Management, Options, Finra, Trading, Uniform Combined State Law, Bonds, Insurance, Advertising, Retirement Planning, 401k.
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