Experienced Financial Services Professional

Location:

Posted:

October 26, 2009

Don L. Fitzsimmons – ********@*****.***

**** ****** **** ***** #* * Highlands Ranch, Colorado 80130 * 720-***-**** *

EDUCATION Bachelor of Science, Business Administration

Emphasis: Finance

University of Northern Colorado, Greeley, CO

EXPERIENCE

Compliance Supervisor, Securities America Inc., Denver, CO (04/2007-12/2008)

• Supervised sales activities of registered representatives in the western region

• Answered compliance/supervision questions from registered representatives

• Analyzed daily, monthly, and quarterly trading activity reports for suitability

• Reviewed new customer account forms and client agreements

• Conducted annual compliance meetings with representatives

• Examined outside business activities and outside brokerage accounts

Compliance Analyst, United Securities Alliance, Greenwood Village, CO (04/2006-04/2007)

• Conducted annual Office of Supervisory Jurisdiction (OSJ) audits

• Reviewed advertising and sales literature

• Reviewed representatives independent RIA (ADV part I and II)

• Managed non-cash compensation, sponsor reimbursements, and signature guarantee logs

• Analyzed Anti-Money Laundering and FinCen Reports

• Examined outside business activities and outside brokerage accounts

• Answered compliance questions from registered representatives

• Assisted Chief Compliance Officer with updating policies and procedures

Monetary Control Accountant, OppenheimerFunds, Centennial, CO (07/2004-04/2006)

• Calculated daily outgoing dividends / liquidations

• Calculated accretions and dilutions to the funds

• Verified client trades via back office teams

• Processed broker bill losses (BBL’s) to broker/dealers

• Prepared / analyze weekly, bi-weekly, and 12B-1 dealer commissions

• Analyzed and balance broker dealer trade corrections

• Balanced both BBL and Non BBL ledgers

Portfolio Manager, MCB Student & Foundation Fund (SAFF), Greeley, CO (01/2003-12/2003)

• Co-Developed 1, 3 and 5-year economic forecast, asset allocation, and sector weights

• Researched, valued and tracked both current and potential investments for SAFF Technology sector

• Wrote and presented buy and sell proposals to co-portfolio managers

• Calculated time-weighted returns for 1st & 3rd quarters and semester

• Co-Presented 1st & 3rd quarter returns and semester returns to UNC Foundation Board

FINRA/INSURANCE LICENSES

Series (4, 6, 7, 24, 31, 53, and 66)

Colorado Life and Annuity

COMPUTER SOFTWARE SKILLS

Microsoft Office (Excel, Word, Power Point, Access)