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Financial Expert Witness

Provides Opinion & Testimony In:

Standard of Care Expert – Financial Services, Financial Advisor, Insurance Planning, Financial Services, Retirement Income Planning, Budgeting, Teaching, Recruiting, Teaching advisors, Managing fellow investment advisors and teams, Operations, Documentation and Maintenance of financial contracts

Expert 5084

PROFESSIONAL EXPERIENCE:

Detail-oriented Financial Advisor offering more than a decade of financial services, budgeting, investment, educating and insurance planning experience. Dedicated relationship manager talented at partnering with clients to assess needs and develop individualized plans. Talented at developing long term relationships based on trust and responsive service. I am respected by my clients for sound judgment, effective risk management, and proactive identification of new opportunities.

Financial Services Expert Witness Jan 2019 – Present
Evidence Solutions, Inc. – Nationwide
Financial Services Standard of Care Expert
Evidence Analysis & Written Reports
Operations, Documentation and Maintenance of financial contracts

Retirement Income Certified Professional / Investment Advisor Mar 2016 – Present
LPL Financial, LLC
Specializing in complex investment contracts, fixed income, and retirement specific investments and strategies

Retirement Plan Analyst / Investment Advisor Mar 2015 – Mar 2016
Kalos Capital / Kalos Financil
Specializing in complex investment contracts, fixed income, and retirement specific investments and strategies

Senior Managing Partner / Retirement Plan and Investment Specialist Mar 2013 – Mar 2015
Mass Mutual Financial Group
Recruit, teach, and manage registered representatives who aspire to become financial advisors and retirement planners.
In 1 ½ years built it up to 20 reps 10-15k of monthly FYC.
Work with families and small business owners to set up budgeting, retirement, investment and insurance plans.

Recruiting and Training Manager Apr 2013 – Jan 2015
Mass Mutual Financial Investment Services
Recruit and teach advisors how to properly identify retirement planning shortfalls and solve with financial products and strategies.

Self Employed
Oct 2012 – Jun 2013

Retirement Plan Analyst / Investment Advisor Jan 2011 – Oct 2012
LPL Financial
Specializing in complex investment contracts, fixed income, and retirement specific investments and strategies.

Retirement Plan and Investment Specialist Sep 2004 – Jan 2011
New York Life Securities, Inc.
Work with families and small business owners to set up budgeting, retirement, investment, and insurance plans.

Senior Partner / Retirement Plan and Investment Aug 2003 – Jan 2011
Specialist New York Life
Recruit, teach, and manage registered representatives who aspire to become financial advisors and retirement planners.
In 3 ½ years built up 25 reps and 35k of monthly FYC
Work with families and small business owners to set up budgeting, retirement, investment, and insurance plans.

Senior Instructor 2004 – 2007
Money Management Educators [MMEducators.org]
Using my formal teaching degree and background, I was a natural fit to provide financial education at large employer worksites as an employee benefit. This education was conducted in group and individual settings.

EDUCATIONAL HISTORY:

Bachelor’s Degree in Elementary Education from Northern Illinois University: 1995

LICENSES:

Securities: CRD
Series 6: Investment Company and Variable Contracts Products
Series 63: Uniform Securities Agent State Law
Series 26: Investment Company and Variable Contracts Products Principal
Series 7: General Securities
Series 65: Uniform Investment Advisor
Life and Health Insurance license

CERTIFICATIONS:

RICP: Retirement Income Certified Planner
ChFC: currently in process

SOCIETIES AND MEMBERSHIPS:

Sun Lakes Rotary Club
Chandler Chamber of Commerce
Financial Peace University

Groups

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