Registered Principal / Director of Operations

VALUE PROPOSITION

I am a young professional looking to obtain a challenging & rewarding position in the financial services industry. I am a results-driven individual with a unique combination of experiences in operations, finance, customer relations, and account management positions. My competency in research & problem solving, coupled with my leadership capabilities, have allowed me to succeed in my educational and professional careers, and prepared me for future growth and contributions in the rapidly changing financial sector. I will be a strong asset for a firm that prioritizes hard work, integrity and discipline above anything else.

LICENSING

FINRA CRD # - 5008526 (http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/index.htm)

 General Securities Principal – Series 24 licensed

 Investment Advisor Representative (IAR) – Series 66 licensed

 Registered Financial Representative (RR) – Series 7 licensed

 Registered in AZ, CA, CT, DE, FL, GA, NJ, NY, PA, VA

 Life & Health Resident Producer – Pennsylvania (License No. 455861)

CALLE FINANCIAL NETWORK, LLC., Newtown, Pennsylvania February 2007 – Present

Cambridge Investment Research, Inc. (Broker/Dealer)

Registered Principal/Director of Operations

Calle Financial Network, LLC. Is an independent advisory firm incorporated in January 2007. 100 percent of Calle Financial’s advisory revenue was created due to client transfers from Northwestern Mutual, my previous broker/dealer.

My responsibilities include:

• Performance Reporting – Oversee activities of the Operations Group as it relates to Albridge-based performance reporting. Assist in the design of performance reports. Improve efficiency of the reporting process. Assume responsibility for timely and accurate reports issued to clients.

• Operations – Supervise daily account reconciliation, trading and opening of new accounts. Manage operational and reporting problems as they arise. Proactively initiate projects to improve operating efficiency and levels of client service. Review firm’s operations procedures and suggest changes. Drive technology improvements including increasing efficiency, evaluating and implementing new software programs and website development and maintenance.

• Administration – Develop an annual operating plan and financial budget that supports the organization’s near and long term strategy. Supervise firm’s compliance, legal, human resources, information technology, accounting and facilities management.

Career highlights:

• Transferred $50 million of assets under management and over 150 client relationships to Calle Financial in less than two months by implementing a cost effective, time sensitive process.

• Increased assets under management by 25% or $12 million by creating cross selling strategies with existing clients and by developing marketing programs that exploited the locality and intimate size of Newtown Township.

• Developed daily and weekly protocols to insure firm is in compliance with SEC and FINRA guidelines and regulations.

• Provide firm with qualitative and quantitative analytical support utilizing Morningstar Advisor Workstation, Albridge Solutions performance reporting, Pershing’s NetExchange Pro and National Financial’s Streetscape programs. Prior to my hiring, firm did not have the capability to utilize these programs.

• Implemented Citrix Access Essentials to protect and secure client data from outside threats and internal advisors that should not have access to such information. Since project began, there have been zero security breaches.

• During economic downturn, managed to maintain 100 percent of current client base while generating an additional $4 million of advisory business through internal client referrals and marketing projects.

• Developed spreadsheets to track client portfolio performance and portfolio-specific participation ratios with the Dow Jones Industrial Average, S&P500 and Nasdaq indicies, insuring client portfolio returns stayed within client-specific risk tolerance objectives.

• Effectively created free time for Managing Partner by performing accounting and bookkeeping services for the firm using Quickbooks. Since I took these duties over, Managing Partner’s efficiency improved dramatically.

• Developed strategy for growing firm by acquiring additional independent IARs from distressed wirehouses and weak independent broker/dealers. Currently, there are four advisors in our interview pipeline.

NORTHWESTERN MUTUAL FINANCIAL NETWORK, Newtown, Pennsylvania July 2005 – February 2007

Northwestern Mutual Investment Products and Services (Broker/Dealer)

Associate Financial Representative/Operations Assistant

 Provided support services for a Registered Representative with a book of business consisting of $50 million of assets under management and 33 years of an established life insurance business.

 Using modern portfolio theory and asset allocation methods, assisted Registered Representative with implementing customized portfolio models for current and prospective clients.

EDUCATION

Boston University School of Management, Boston, Massachusetts May 2004

Bachelor of Science in Business Administration

Dual Concentration in Operations & Technology Management and Entrepreneurship

ACTIVITIES/HONORS

 Testified in front of the U.S. Senate Committee on Banking, Housing, and Urban Affairs, “Paying for College: The Role of Student Lending” in Washington D.C. on June 6, 2007

 President, Rotary Club of Washington Crossing-Yardley, Pennsylvania, July 2009 – Dec 2009

 President-elect, Rotary Club of Washington Crossing-Yardley, Pennsylvania, July 2008 – June 2009

 Mentor/Advisor of Sigma Alpha Epsilon, Massachusetts Beta Upsilon Chapter , Fall 2003 – Present

 President of Sigma Alpha Epsilon, Massachusetts Beta Upsilon Chapter, Summer 2002 – Summer 2003

 Treasurer of Sigma Alpha Epsilon, Massachusetts Beta Upsilon Chapter, Spring 2002 – Summer 2002

 Province Leadership School, Sigma Alpha Epsilon, University of Connecticut, March 2003

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