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Click here or scroll down to respond to this candidateCandidate's Name EMAIL AVAILABLE Select Career Highlights:Promotion to Vice President, Investments from Private Financial Advisor - SunTrustBuilt a team of Street Address from 1 as Company Head, Advertising & Marketing Compliance LPL FinancialTed Jones Prospecting Award new advisors bringing in over 3.Street Address million in year 1 - Edward JonesPromotion from Asst. Vice President to Director, Advertising & Marketing Compliance LPL FinancialPromotion to Vice President, Law & Compliance - J.C. Bradford & Co.Promotion to Asst. Vice President, Law & Compliance J.C. Bradford & Co.Authored policies and procedures for Research / Investment banking (Chinese wall), Advertising Compliance manual and the Trade Desk - J.C. Bradford & Co. & LPL FinancialProvided direct supervision to 26 Financial Advisors over a 12-month period J.C. Bradford & Co Professional Work Experience:Edward Jones Auditor Remote Franklin, TN 03/23 Present Conduct sales practice and trading reviews to detect trends, trading patterns that may violate suitability and other industry rules and regulations for Financial Advisors and Branch Teams. In person audits for compliance with rules and regulations. Conduct in person annual compliance meetings.BlackRock Vice President, Marketing Strategy - New York, NY - 4/22 1/23 - Provided Registered Principal review & approval of ETF and Mutual Fund communications and marketing materials for 5 new issues and existing products. Marketing strategy team member working with research analysts on positioning funds to be marketed together. Providing final approval on product and retail marketing pieces for a stable of ETFs. Provided review and approval of Models for Retail and Institutional advisors. Panelist member that conducted firmwide annual compliance meeting. Principal in charge of communications approval on 5 ETF new issues. Providing daily guidance to marketing teams and research analysts on media and research copy.Edward Jones, Financial Advisor & Associate, 1/20 to 4/22, Franklin, TN - Ted Jones Prospecting Award Qualified for the Ted Jones Prospecting award bringing in $3.75 million in assets in year 1. Gained a deep understanding of clients unique needs and aspirations to advise them on reaching those goals. Built a client base through cold calling University of Alabama Alumni and conducting Social Security seminars at Nashville area Libraries. Managed client portfolios.Red Ivy Holdings - Partner TN and AL - 3/14 01/20 Developed and managed family real estate holdings. LPL Financial Registered Principal, Advertising & Marketing Compliance - 4/06 - 5/14 Franklin, TN Worked with LPLs number 1 producing team providing principal oversight and Compliance approval of communications with the public.SunTrust - Vice President, Investments 5/03 - 4/06 Nashville, TN Promotion from Private Financial Advisor to Vice President based on sales production and performance. Gained a deep understanding of clients unique needs and aspirations to advise them on reaching those goals. Networked with all areas of the Bank to seeking new investment clients. Contacted Bank clients to add investments to their cash-based holdings with the Bank. Morgan Stanley Financial Advisor 4/02 - 5/03 Brentwood, TN - Built client base through cold calling over 100 prospects per day. Worked with clients to manage their assets toward meeting their goals. Ranked in top 17% of a 250-member sales class. The Hartford Leaders (Planco) - External Wholesaler, Regional Marketing Director - 9/01 - 4/'02 As external wholesaler, trained and sold to financial advisors variable annuities. Conducted client meetings and held a public seminar on Hartford Leaders Variable Annuity. Increased territory production by 15% over a 6- month sales period.LPL Financial Company Head - Advertising & Marketing Compliance - San Diego, CA 9/97 9/01 Director and Principal in charge of Marketing & Advertising Compliance which provided review and final approval on Corporate, Research and Advisor generated marketing collateral and communications with the public. Recruited, trained, managed a department of Analysts. Transformed department by recruiting and developing a team of 1 to a staff of 12 with zero turnover in 4 years. Improved SLAs, quality of the teams review and relationships with LPL Financial Advisors. Developed database that streamlined record keeping while meeting FINRA & SEC standards. Interfaced between FINRA and LPL on 2 broker/dealer inquiries and audits.J.C. Bradford & Co. - Vice President, Law & Compliance Nashville, TN - 8/91 9/97 Principal in charge of Marketing/Advertising Compliance, Account Surveillance team and Research approval process. Authored Compliance policies and procedures for Communications with the Public, Research, Investment Banking (Chinese Wall) and Trading Desk areas. Registered Principal that provided direct supervision of 26 registered representatives located in the Bowling Green, KY office for a 12-month period. Over 6 years, conducted 122 on-site OSJ and Non OSJ branch office audits and annual compliance meetings. Over 6 years settled 149 written customer complaints with oversight of final response from General Counsel. Skills:History of formulating and implementing policies & procedures Strong leadership skills, with the ability to build a collaborative and cohesive team Team motivator with a history of leading and building a large department with high-stretch goals Resolute and resilient rising to meet challenges while keeping team morale elevated Effective communicator in both written and oral forms Training, Education & Licensure:FINRA Series 24, 9, 10, 7, 66 and SIELife and Health Insurance Licenses State of TNCFS, Certified Funds SpecialistThe University of Alabama Bachelor of Science, Business Administration Major Marketing Skilled in use of Red Oak Systems, Microsoft Word, Windows & Excel Public Speaking & Teaching Experience:Two-time panelist for (NASAA) North American Securities Administrators Association conferences Conducted variable annuity training and sales for Financial Advisors Seminars presented on Retirement Distribution Basics, Social Security and Estate Planning |
