Project Manager Sales

Experience

Nationwide Securities, LLC (Nationwide Financial 2002 - present

Network)

Dublin, OH

Job Title: Division Manager, B/D Operations

o NSLLC Broker/dealer Operations Manager

. Manage Suitability Department

> Manage all NSLLC Suitability functions. In-house team of

highly trained Registered Principals review Fixed and

Variable Annuities, Variable Life, Mutual Funds, Pensions,

Managed Accounts/TAMPS, Financial Plans; in order to

determine suitability.

> 529 Plans, 403(b), 401(k), IRA, Roth, Trusts, etc.

. Also Manage Brokerage Department

> Manage all brokerage functions for NSLLC including

Cashiering, New-Account set-up/maintenance,

Transfers/Rollovers, Trading, Reporting, Training.

> Bonds, Stocks, ETFs, Managed Money, Municipal Securities,

Options, Treasuries, REITs, Sweep accounts, UITs, etc.

. Also serve as MRRB Home Office Principal for Nationwide Financial

Network

o Project Manager, Broker/Dealer Operations

. Variable Account Realignment / Deregistration Initiative:

Realignment of Nationwide Exclusive Financial Sales Agency Channel

to better fit the industry and reinforce the concept of the full

time financial producer. Internal wholesaler realignment as well.

. Nationwide FundSelect Transition: Broke up Mutual Fund omnibus

situation and converted it to a direct model.

. Departmental Budget Redesign: Redesign of $30M department budget,

reduced expenses, created new accountability.

. NASD Breakpoint LOC Project: Audit 16,000 Nationwide clients to

ensure breakpoints were correctly assessed.

. Commissions: Implementation of system to Pay Nationwide Associate

Agents directly. Managed call center. Designed a debt-repayment

system to allow primary agents to extend a "draw against

commissions" program to their associates.

. New Rep Agreements / Fingerprint Initiatives/Document Storage:

Designed and Managed these Initiatives.

. Orphan project / Blue Sky / Account Transfers: Managed a team that

reallocated thousands of house/orphan accounts to active agents in

the field and internal agency resources to drive sales.

. Other projects: Online Financial Commission Project, Supervisory

Field Study, PC Inventory project, B & C notice (IRS) filings,

Commissions Audits, NASD/FINRA audits

. Conduct various campaigns involving thousands of inbound and

outbound calls. Mutual Funds, Variable Life products and Variable

Annuity products.

. Trained employees and reps on various broker-dealer operations

concepts.

Bisys Fund Services (now part of CITI) 1998 - 2001

Columbus, OH

Job Title: Supervisor, Shareholder Services

o Supervised a staff of Registered Representatives that provided Transfer

Agency responsibilities for 27 mutual fund families.

. Oversaw account resolution, research, trade placing, trade

corrections and escalated calls.

. Delivered presentations and conducted tutorial sessions on various

mutual funds concepts.

. Worked closely with banks, retail and institutional investors,

reporting agencies, fund accountants and client relations managers.

Education

The Ohio State University

Columbus, OH

Degree: B.S. Finance, Max M. Fisher College of Business

o High GPA and test scores. Research assistant for 4 years at the Fisher

College of business in the area of Mergers & Acquisition, Acknowledged in

Journal of Finance for research

Licenses / Designations

o Charted Financial Consultant, American College (ChFC), Certified Life

Underwriter, American College (CLU)

o FINRA Series 7, Series 24, Series 53 (Municipal Principal), Series 66

(Investment Advisor Rep), Series 4 (Options principal).

o Ohio Life & Health Insurance License

o MSRB principal for Nationwide Financial Network.

o Adanced Skills: Field Communication / Roll-outs / B/D Operations /

Project Management / General Operations Management / Leadership /

Presentation / Training

o Certified Financial Planner (CFP) in Progress

References available upon request

Contact this candidate