My experience includes 12+ years of progressively responsible experience establishing advisory, brokerage and managed account relationships for individuals, trusts, qualified plan sponsors and self-employed business owners. Responsibilities have included providing complex planning (including life-stage goal planning) and investment guidance (benchmarking for real returns, risk adjusted total returns and risk adjusted yield), Also provided tax deferred and tax managed growth and income strategies, treasury management and legacy (estate) planning strategies. I utilize a wide variety of planning and investment tools to generate probabilistic assessment (monte carlo analysis) of retirement and legacy goals with base and “what if” scenarios. Screened securities and assisted self directed clients with use of screening tools for common and preferred stocks, options, structured and fixed income products, alternative investments, mutual funds, ETFs. Provided clients with diversified income strategies with fixed and variable products. Compensation had been based on combination of fees for AUM, commissions, salary and bonus (performance) based pay.
- microsoft office, siebel crm, wide variety planning tools
• Chartered Retirement Planning Counselor® and Charter Retirement Plans Specialist®
• Certified Special Needs Advisor (Merrill Lynch designation)
• Series 7 (general securities license), 66 & 63 (registered investment advisor) (CRD No. 4465435), AZ, CA, CO, NM & TX.
• Life, Health and Variable Contracts Licenses: AZ, CA, CO, NM (NM #176113) & TX;
• Member California State Bar, 1981 – 2007 (active), 2008 – Present (Inactive – retired)
• J.D., Boalt Hall School of Law, University of California, Berkeley 1979
• A.B. Economics, University of California, Berkeley, 1976
June 2011 – Present, Fidelity Investments, Albuquerque, NM.
Sept. 2009 – May 2011, Merrill Lynch, Santa Fe, NM (AUM – $7.5mm; Annualized GDC – $98m)
Dec. 2007 – Sept. 2009, UBS Financial Services, Santa Fe, NM
Jan. 2007 – Nov. 2007, Financial Network Investment Corporation (PT/FT)
Jan. 2001 – Dec. 2006, Primerica Financial Services and PFS Investments. (Division Leader) (PT)
Deputy Port Attorney, Port of Oakland, Oakland, CA
1989-1998, 2001- 2007
• Advised municipal officials and staff on a wide range of legal matters including retirement plan sponsor and plan administrator fiduciary responsibilities, labor and employment law, employee benefits and nonqualified deferred compensation issues. Transaction work included drafting leases, procurement contracts, management agreements, debt repayment plans & labor contracts. Litigated contract, employment & collection cases.
Director of Administration, Port of Oakland, Oakland, CA
1998 – 2001
• Supervised four departments, Human Resources, Office Services, Workers Compensation and Management Information Services, with budget responsibilities in excess of $8 million. Supervised employee benefits and employee relations, including health benefit and deferred compensation plan administration, labor negotiations and labor relations.
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