Asset Manager

  • Registered investment advisor (Series 7, 63, 65) - Expired
  • Succeeded as a retail advisory firm with full profit/loss responsibility.
  • Cultivated successful relationships with industry leading custodians including The Vanguard Group, TD Waterhouse, Fidelity Investments
  • Involved in all aspects of the business including
    • business development
    • securities trading
    • regulatory compliance