Manager Administrative Assistant

Lisa Prizzi Hardy

***** Hendricks Road, Mentor, Ohio 44060 *

Phone 440-***-**** *216-***-****

Experience Sept 2008 - current: NatCity Investments

*Private Client Group, Wealth Management -Associate -

Support all facets of High Net Worth client operations.

1997 - 2008: First Union, LPL Financial

*Branch Operations/Compliance Manager-Marketing Assoc.

Branch procedure development and maintenance. Client

development

and portfolio monitoring. All aspects of compliance

monitoring. Successful passing of annual audit.

1992-1997: Manpower Intl, Management Recruiters Intl.

*Branch Manager- Sales Associate. 300% growth first year.

Division Operations Manager.

Procedure development and monitoring. Office planning and

implementation. Updating Procedure Manual. Human resources

recruiting and placements.

1986-1992: EF Hutton

*Certified Operations Manager, Compliance Officer

Management of thirteen staff.. All aspects of policy and

procedure compliance management. Successful passing of

annual audit. Profit and

Loss statement management, budget planning. All Human

Resources

Functions.

1979-1986: Prescott, Ball & Turben, AG Edwards

* Administrative Assistant

* Home office support, Branch Managers Assistant.

Education-Licensure *EF Hutton CBOM Management Training - successful 8

week training/testing in all aspects of Brokerage

Operations and Compliance. Renowned program.

* Series 7 and 63 acquired 1998

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