I started my career as an intern with Merrill Lynch during undergraduate school. After graduation, I worked for a number of large financial institutions including Citi Smith Barney, Wells Fargo Advisors, and LPL Financial. I served in various compliance officer positions that included supervision, surveillance, branch review, and internal audit.
In my most recent role, I served as the Director of Operations for an independent roll-up RIA. My responsibilities included on-boarding and transition management, general operational branch support, technology administration, and vendor relations. I co-managed all compliance programs and acted as OSJ for any advisors with B/D affiliate registrations.
I have a bachelor’s degree in Business Administration from the University at Buffalo and an MBA from the University of North Carolina-Charlotte. I am Series 4, 7, 24, and 66 licensed. I will be taking the CFP Exam in July 2018.
I would like to affiliate with a practice that is looking to join a corporate RIA, form their own RIA, onboard a junior advisor, and/or is in need of a succession plan.