Morgan Stanley
Assistant Vice President
Sorrento Pacific Financial, Llc Oct 2010 - Mar 2016
Branch Supervision
Axa Advisors Apr 2009 - Oct 2010
Compliance Officer
Lpl Financial Aug 2002 - Dec 2008
Compliance Analyst
Education:
San Diego State University 1988 - 1993
Bachelors, Bachelor of Arts, Classics
Skills:
Mutual Funds Securities Series 7 Portfolio Management Financial Services Wealth Management Investment Advisory Risk Management Alternative Investments Financial Planning Retirement Planning Series 63 Finra Series 24 Investments Finance Asset Management Financial Advisory Insurance Equities Banking
Certifications:
License Crd #2524985 Finra Series 7 Finra Series 24 Finra Series 27 Finra Series 53 Finra Series 66 Financial Industry Regulatory Authority (Finra), License Crd #2524985 Financial Industry Regulatory Authority (Finra)