Insurance Real Estate

Ryan P. O'Leary

**** *. ******* **. ***. A

Tampa, FL 33629

Cell 813-***-****

E-mail ****.****.******@*****.***

Objective: To obtain a Financial Advisor position utilizing my client

servicing experience in both the production and operational sides of the

financial services industry.

SUMMARY OF QUALIFICATIONS

. Experience recommending suitable client portfolios for individuals and

institutions

. Experience developing and converting prospect leads into clients and

identifying cross-selling opportunities for existing clients

. 9 years of financial services experience and extensive product

knowledge

. 3 years experience of directly supervising compliance staff

. Series 7, 24, 63, & 65 and Life Health and Annuity licensed

. Completed Certified Financial Planner education requirement through

Boston University

PROFESSIONAL EXPERIENCE

Sep. 2009 - Present Financial Advisor

Morgan Stanley Smith Barney Tampa, FL

Advise clients on financial plans utilizing knowledge of tax and investment

strategies, securities, insurance, pension plans, and real estate. Duties

include assessing clients' assets, liabilities, cash flow, insurance

coverage, tax status, and financial objectives to establish investment

strategies.

Sep. 2006 - Sep.2009 Director, Regulatory Compliance

National Life Group - Equity Services, Inc. Montpelier, VT

Served as compliance director for the broker-dealer and investment advisor

subsidiaries of National Life Group, an insurance carrier with a career

distribution channel that includes 700-900 Registered Representatives and

Investment Advisor Representatives.

. Manages compliance staff responsible for conducting branch audits,

advertising and incentive reviews, registered representative

inquiries, and compliance presentations

. Manages and develops 3012 and 206-4(7) testing process

. Updates and revises Written Supervisory Procedures

. Responds to regulatory inquiries and written customer complaints

. Interacts with regulators during home office inspections

. Consults with management to determine disciplinary actions taken

against registered representatives who violate firm procedures

. Conducts monthly training of home office principals reviewing new

business and surveillance staff

. Draft and issue field notifications regarding compliance related

updates to firm procedure

Jan. 2004 - Sept. 2006 Senior Complaint and Regulatory Examiner

Raymond James Financial Services St. Petersburg, FL

. Reviewed and responded to regulatory inquiries

. Reviewed and responded to customer complaints

. Served as a corporate representative for several arbitration and

mediation proceedings

. Submitted U-4/U-5 amendments for customer complaints when required

. Consulted with management to determine disciplinary actions taken

against registered representatives who violated firm procedures

. Assisted in 3012 testing process

. Assisted in 3070 statistical reporting

. Conducted "Rapid Response" surprise branch office visits to

investigate potential regulatory violations

Oct. 2001 - Jan. 2004 Investment Specialist

T. Rowe Price Tampa, FL

. Provided guidance to investors regarding various mutual funds, and

products and services

. Assisted investors with asset allocation

. Educated clients on different mutual fund investment strategies

. Assisted clients in rolling over qualified assets

. Opened and exchanged mutual fund accounts

. Participated in coaching and mentoring new service associates

EDUCATION

. Completed CFP education requirements through Boston University

. Masters of Science in Management, 2001, University of Florida

. Bachelor of Arts in Economics, 1999, University of Florida

ORGANIZATIONS

. Tampa Toastmasters Club 1810

. Interbay Rotary

. Greater Tampa Small Business Committee Member

. South Tampa Chamber of Commerce Member

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