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Click here or scroll down to respond to this candidateCandidate's Name
Street Address (M) PHONE NUMBER AVAILABLE kev_carroll@yahoo.com.Experience Federation for American Financial Advisors - (Consultancy targeting advisors with issues related to FINRA) Co-Founder 9/2021- Present Signed up brokerage firms for advisory services related to FINRA issues. Identified and created the total addressable market for the consultancy to target. Opened lines of communication with Finra to discuss streamlining their processes including broker supervision & enforcement of regulations.LPL Financial - Gateway Financial - Glastonbury CT 2/15/2019- 8/20/2021 Managing Director Wholistic financial advising leading a team of 3 and personally managed 76 million in assets. Second largest producer within the office of 23 advisors in the first 6 months Wells Fargo Financial Advisors - Glastonbury CT 11/7/2014 - 2/14/2019 Managing Director Raised and managed 148 million in institutional and retail clients assets Selected to be one of 3 liaisons in CT to bring brokerage services to the Private Bank of Wells Fargo Appointed to the board of Advisors directly reporting to the National office as a liaison. Merrill Lynch - Glastonbury CT 9/30/2008 - 11/7/2014 Senior Vice President -Financial Advisor Personally raised and managed 156 million in retail clients assets. Awarded the distinction of an Ultra High Net Worth Gatherer one of 15 in New England Advised on a 16.8 billion engagement for parent company Bank of America Citigroup Global Markets - Smith Barney - Glastonbury CT 11/6/2007 - 10/16/2008 Senior Vice President - Financial Advisor Raised and managed 74 million in retail clients assets. Was selected by senior management to help unwind 44 million in illiquid auction rate securities. Bank of America Investment Services - Glastonbury CT 10/20/2004 - 11/6/2007 Senior Vice President - Financial Advisor Appointed as financial advisor for 3 bank branches in the Hartford area. Number one in production out of 20 advisors in lending Personally managed 70 million in assets Hired and trained a team of 6 associates to handle the mid-market. Quick & Reilly - New York, NY 2/7/2001 - 10/20/2004 Senior Vice President - Financial Advisor Raised and managed 187 million in retail clients assets. Specialized in concentrated stock positions for all 45 advisors in the branch. Advest INC - Hartford CT 2/26/1999 - 2/14/2001Lead Mutual Fund Analyst Researched mutual funds to create a short recommended list for the 600+ financial advisors. Lead analyst out of 4 to take all inbound calls from advisors to help with selection and presentation of mutual fund portfolios.Education: BA Finance University of Connecticut with minor in Mathematics Licenses: Licenses: Series 66, Series 7, Series 24 |
