Financial advisor/portfolio manager with over 30 years' professional experience including serving as a Senior Vice President for both Morgan Stanley and Wells Fargo Advisors. Extensive experience with high net-worth and ultra-high-net worth clients. Supervisory experience includes managing 55 financial advisors with accounts totaling in excess of $4 billion and addressing numerous employment issues at broker/dealers. Spotless compliance record. Have testified as an expert witness in AAA, FINRA and Superior court venues and deposition. Member of Securities Experts Roundtable and public speaker.

Professional Designations:

Wharton School Executive Education)--
Certified Investment Management Analyst
Senior Financial Advisor
Senior Branch Manager

FINRA--Dispute Resolution Arbitrator

Center for Fiduciary Studies--Accredited Investment Fiduciary

IMCA--Certification--Fiduciary Best Practices

Licenses Held:
Series 7—General Securities License--1985
Series 3—National Commodities Futures License--1986
Series 63—Uniform Securities Agent--1986
Series 65—Uniform Investment Advisor--1995
Series 8—General Securities Sales Supervisor and Options Principal--1993

Specialties

• Securities & Investments
• Financial

Subpecialties

• Breach of fiduciary duty
• Uniform Prudent Investors Act
• churning
• suitability
• broker/dealer standards and compliance
• investment advisor
• portfolio management
• asset allocation
• unauthorized trading
• elder abuse
• FINRA
• financial advisor
• financial planning
• branch management
• securities fraud