Resumes
Resumes
Financial Services Compliance Supervisor - Finra Series 24, 9, 10, 7, 66 And Lah Certifications
View pageLocation:
Greater Boston Area
Industry:
Financial Services
Compliance Analyst, Individual Life Insurance Marketing Review
View pageLocation:
19 Huntington Dr, Somers, CT 06071
Industry:
Financial Services
Work:
New York Life Insurance Company since Mar 2010
Associate Agency Standards Consultant
Ameriprise Financial Mar 2006 - Oct 2009
Field Compliance Supervisor and Registered Principal
Miller, Allen and Associates 2004 - 2006
Associate Financial Advisor, Paraplanner
American Express Financial Advisors 2003 - 2005
Financial Advisor
Unisource 1996 - 2004
Fine Paper Merchandiser
Associate Agency Standards Consultant
Ameriprise Financial Mar 2006 - Oct 2009
Field Compliance Supervisor and Registered Principal
Miller, Allen and Associates 2004 - 2006
Associate Financial Advisor, Paraplanner
American Express Financial Advisors 2003 - 2005
Financial Advisor
Unisource 1996 - 2004
Fine Paper Merchandiser
Education:
Hood College 1992
BA, Environmental StudiesRecipient, Beneficial Hodson Scholarship undeclared minor,Political Science
BA, Environmental StudiesRecipient, Beneficial Hodson Scholarship undeclared minor,Political Science
Skills:
Microsoft Excel
Training
Leadership
Risk Management
Financial Planning
Strategic Financial Planning
Financial Services
Fixed Annuities
Retirement
Life Insurance
Training
Leadership
Risk Management
Financial Planning
Strategic Financial Planning
Financial Services
Fixed Annuities
Retirement
Life Insurance
Interests:
Social Services
Certifications:
Series 24, 53, 9, 10, 7, 66
Financial Industry Regulatory Authority (Finra)
Financial Industry Regulatory Authority (Finra)