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Yyyyyy x. yyyyyy

813 Crescent Ridge Dr. Xxxxxx, XXXXXX xxxxxx


Summary of Qualifications


  Award-winning leader with a proven track record of managing teams and generating positive results.

  Consistently proxxxxxxted to positions of greater responsibility for exceeding performance objectives.

  Outstanding knowledge of brokerage operations and leading team members to maximize their potential.

  Sound judgment with excellent listening, verbal communication and interpersonal skills.

  Stellar time management, attention to detail and organizational skills, including prioritizing tasks.

  Proficient with Microsoft Office and NetExchange Pro.

Professional Experience


First Allied Securities (formerly, FFP Securities/First Advisors) Aug. 1999-Present

Vice President, Relationship Manager, Central Service Team (July 2013-Present)

  Honored with the 1 in 100 Award in Dec. 2013 and in Mar. 2016 for exceptional performance.

  Proxxxxxxted to this role for outstanding achievements in prior tenure as Associate Vice President.

  Lead, mentor and coach a team of up to four personnel to maximize their individual potential and excel.

  Support financial consultants and their staffs with inquiries to all aspects of brokerage operations and systems.

  Serve on the Operations Advisory Council, Operating Committee and Advisory Platform Error Committee.


Associate Vice President, Client Service Manager, St. Louis Service Team (July 2008-July 2013)

  Recognized with an Ambassador Award in both 2008 and 2009 for stellar results achieved.

  Worked closely with multiple other managers to improve processes and procedures.

  Built and maintained positive relationships with a diverse and talented team of financial consultants.

  Proactively researched and resolved escalated client requests, questions or problems.

  Analyzed telephone calls and client requests for accuracy and quality of service.


Manager of Rep Support and Transitions, FFP Securities/First Advisors (June 2004-July 2008)

  Earned the Diplomat-Outstanding Attitude award in 2007 for leading a team of up to three personnel.

  Trained new representatives to maintain compliance with company policies and procedures.

  Designed training materials and led training classes at a national sales conference.

  Processed and supervised changes for direct business accounts and brokerage platform questions.


Trade Desk Operations/Margin Clerk, FFP Securities/First Advisors (Aug. 1999-June 2004)

  Processed cashiering requests, account transfers, new accounts, reorganizations and transfer and ship requests.

  Communicated margin calls to representatives and ensured compliance with policies and securities regulations.

  Reconciled sundry accounts and submitted report to internal accounting and commission accounting.


Surety Life/Lincoln Benefit Life July 1997-Aug. 1999

Senior Licensing Representative

  Supported agents by processing appointments, resolutions/errors, contracts and terminations.

Education and Training


BS, Business Administration, International Business, University of Nebraska, Lincoln; earned 1997


  Hold a Series 7, 24 and 63 license and currently studying to earn a Series 65 license.


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