Financial advisor/portfolio manager with over 30 years’ professional experience including serving as Senior Vice President for both Morgan Stanley and Wells Fargo Advisors. Highly experienced with high net-worth and ultra-high-net worth clients. Extensive supervisory experience including managing 55 other financial advisors with in excess of $4 billion of assets under management. Experience with numerous financial advisor employment issues at broker/dealers. CIMA®--Certified Investment Management Analyst. AIF® --Accredited Investment Fiduciary. FINRA Arbitrator. Fiduciary Best Practices certified. Spotless compliance record. Accomplished public speaker. Experienced as securities expert witness in AAA, FINRA and Superior Court venues.
SER Voting Member
Curriculum Vitae