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Yyyyyy x. yyyyyy

549 Cherry Ridge Ct. Ballwin, MO 63021



Summary of Qualifications


  Award-winning industry professional with a consistent, proven track record of exceeding performance goals.

  Earned the 1 in 100 Award in Mar. 2016 for stellar performance, and have also been honored as Employee of the Year in 2012 and with the Superior Service Award for exceptional leadership and results-achieved.

  Outstanding background ensuring FINRA compliance, as well as with state regulatory agencies.

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

Professional Experience


Team Lead-Registration Specialist, First Allied Securities Apr. 2011-Present

  Exceed performance objectives in the Department of Licensing and Registration.

  Work closely with recruiters, supervisory personnel and the compliance and transition teams.

  Collaborate with coordinators and personnel in the operations and IT departments to ensure a smooth transition for new financial advisors joining the firm.

  Support recruiters with the pre-approval and approval process to onboard new candidates.

  Register candidates with First Allied Securities and First Allied Advisory Services (FINRA filings).

  Help employees with securing securities licenses, from pre-approval forms to background checks and ordering study material to opening exam windows and completing and registering for licenses.

  Work with personnel in the human resources department to secure background check reports for the pre-hire approval process, including credit and felony checks; public record search; and CRD snapshot from FINRA.

  Ensure compliance with FINRA and other laws pertaining to state registrations and outside business activities and financial disclosures.

  Communicate with FINRA and state securities regulators to resolve registration issues on behalf of candidates.

  Establish and update advisor profiles in the NETX360 Pershing platform for client statements.


  Earned the 1 in 100 Award in Mar. 2016 for stellar performance.

  Honored as Employee of the Year in 2012 and Employee of the Month on two separate occasions.

  Recognized with the Superior Service Award in 2011.



Bachelor of Science (BS), Communication Science and Disorders, Hearing Impaired; earned 1996

Southwest Missouri State University



Series 66, Investment Advisory Representative

Series 7, General Securities Representative
Series 24, General Securities Principal

Volunteer Work


Run marathons to raise money for Autism Speaks and The Fisher House


Member, National Student Speech Language Hearing Association (NSSHLA)


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