Listing in Charlotte, NC

Market
Advisor/RIA
Member Level
Basic
Last Activity
6 months or more
General
Compatibility
Location
Charlotte, NC, US
Listing Type
Buyer | Merge | Join A Practice
Fee 0% Commission 100%
Overview

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.

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