Sales, Customer Service, Leadership, Securities, Operations, Complianc
Resume:
Blossom Trail
Colorado Springs, CO *0920
*******@****.***
DOUG DUGGAN
DIRECTOR - OPERATIONS MANAGEMENT
Creative Leadership Client Service Operations Regulatory Compliance
Interdepartmental Direction Client Account Transitions Performance
Evaluation
Profit & Loss Responsibility Expense Control Procedures & Processing
Highlights
Diversified Experience: served in increasing leadership and operational
responsibilities across multiple industries from the military to
financial and insurance services to retail distribution.
Accomplished Client Services Professional: established a new branch
office and oversaw growth of agency trading volume to over 24 million
shares annually with 19 full time client traders in one year.
Increasing Leadership Responsibility: served in roles of increasing
leadership and operational responsibilities from branch and district
management to state and corporate level responsibility.
PROFESSIONAL EXPERIENCE
Adjunct
Fortis School of Finance, May 2014 - Present
. Instructed students in exam preparation for securities examinations
(Series 6, 7, 24, 65).
. Conducted continuing education classes for securities and insurance
professionals.
Director of Client Services
LifePics (division of Taylor Corp.), February 2013 - December 2013
. Supervised all aspects of client services and dealer support for the
largest association of online photofinishing dealers numbering over
7,000.
. Managed two calls center staffs, and their successful training, for the
U.S. and the Philippines for phone, chat, and email support for clients
in North America, Australia, and New Zealand including several large
retailers (e.g. Kodak, Office Depot, Walgreens) improving service
response by 31%.
. Instituted metric driven customer service tracking systems to identify
areas of system and process improvements, established support service
level standards, established and drove system enhancements by priority
reducing reportable issues by 24%.
Director of Operations
Financial Planners Group of America, January 2012 - February 2013
. Supervised all aspects of client experience, operations management, and
process improvement.
. Managed two transitions of over 400 clients in brokerage, annuities, and
managed money platforms.
. Improved client service experience by implementing managed money and
managed annuity platforms.
Director of Operations - Colorado
New England Financial (MetLife), Colorado Springs, CO, February 2010 -
October 2011
. Managed insurance and securities operations for all Colorado offices by
managing new business processing for 67 agents with over $6 million in
annualized commissions and $600 million in securities assets.
. Responsible for all aspects of the client experience from underwriting to
account transitions.
. Responsible for commission and compensation issues resolution, licensing,
payroll, human resources and underwriting to drive business results.
. Led team in new business operations by directing, developing, and
implementing processing policies for life insurance, annuities, and
financial services resulting in New England Financial of Colorado being
the leading state for accurate life insurance submissions.
Call Center Manager
Envoy Financial, Colorado Springs, CO, May 2008 - April 2009
. Led sales force in 403 (b) enrollments, advisory, life insurance, and
annuity sales for clients in 52 countries (over $20.6 million).
. Established program to extend annuity sales to all 50 states.
. Established metric tracking and review system in all categories for sales
force.
. Originated email advertising, production based sales incentives, and
financial planning sales training.
. Mentored employees through call reviews, financial planning training, and
sales techniques.
District Manager
Farmers Insurance Group, Inc., Bellevue, WA, May 2004 - May 2008
. Originated and implemented incentive and recognition programs among
agents increasing life insurance production in the district by breaking
previous issue records twice.
. Aligned agents with internal business partners resulting in a retention
ratio of 95.8%.
. Established Farmers Insurance's only internship program in Washington
State.
Mortgage Underwriter
MILA Financial, Seattle, WA, 2003 - 2004
. Trained new underwriters and co-developed the training manual for all
initial underwriters.
. Performed appraisal reviews and valuations of subject properties to
properly gauge lending risk.
. Initiated underwriting for wholesale residential mortgage lending from 27
states averaging over $200,000 per day.
. Simultaneously evaluated credit risk, income verification, and borrower
debt and expense ratios to determine proper capacity to repay while being
alert for potential borrower and broker fraud.
Branch Manager / Vice President
ProTrader Securities, Division of Instinet, Seattle, WA, 1998 - 2002
. Successfully opened Seattle office and oversaw growth of agency trading
volume to over 24 million shares annually and built headcount to 19 full
time professional traders in less than one year.
. Built a successful, client service team by training and licensing
associated persons.
. Developed and implemented strategies to market the new branch through
personal contact, TV and radio advertisements, exhibitions, and open
houses.
. Oversaw branch expense and resource management to operate within
delegated plans and budget.
. Supervised option trading, branch compliance, and trader relations.
Registered Representative
Advantage Capital Corporation, Houston, TX, 1993 - 1997
. Advised clients and brokered transactions in equities, options, fixed
income securities and mutual funds, managing nearly $1 million.
. Served as member of selling group in a NYSE company's initial public
offering educating employees on IPO legal procedures.
Executive Officer
United States Army, Fort Riley, KS / Persian Gulf, 1990 - 1993 (Secret
Security Clearance)
. As executive officer, had leadership and training responsibilities of the
maintenance platoon including the repair and readiness of 16 tanks and
vehicles valued at over $30 million.
. As platoon leader, had direct and ongoing responsibility for the
training, welfare, safety, and combat readiness of 16 soldiers and 4
tanks.
. Veteran of Operation Desert Storm (Army Commendation Medal, Combat
Badge).
ACCREDITATIONS
Series 4, 7, 24, 53, 63, 65
FINRA Arbitrator (non-public)
GAMA - Essentials of Leadership and Management
EDUCATION
Bachelor of Science
United States Military Academy, 1990, West Point, NY
MBA Program
University of Colorado at Colorado Springs (Estimated graduation in May
2016)
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