Industry Background
Work History:
7/99 – Present Moloney Securities Co., Inc. (NASD B/D)
Executive Vice President
Member of the Management Committee and Board of Directors. Previous Chief Compliance Officer for the firm and currently supervises the central division for the firm while being Branch Manager of the Kansas City office and surrounding area.
4/01 – Present Levitt Betzelberger Weinrich Inc. (KS RIA)
President
Money management firm specializing in portfolio management for individual and institutional clients.
12/93 – 7/99 Birchtree Financial Services, Inc. (NASD B/D)
(1/98 – 7/99) Executive Vice President
Due to significant industry experience along with organization and management skills for managed growth, promoted to oversee all day to day aspects of the broker-dealer’s business including but not limited to trading, registration, accounting and payroll, new accounts, operations, direct products, corporate finance and the registered investment advisor. Firm was sold in early 1999 to H&R Block.
(12/93 – 12/97) Vice President and Trading Manager
Organized the agency order desk to be a substantial profit center by arranging order routing relationships to obtain order flow rebates while managing to obtain better than best executions.
6/96 – Present Tower Brokerage Services, Inc. (NASD B/D)
Financial Principal – responsible for filing all focus and financial reports for the regulatory authorities.
4/97 – 7/98 Greenberg Nehls & Co., LLC (NASD B/D)
Financial Principal – responsible for filing all focus and financial reports for the regulatory authorities.
7/95 – 7/97 Rentz, Christian & Co. (NASD B/D)
Financial Principal – responsible for filing all focus and financial reports for the regulatory authorities.
1/91 – 3/97 Winchester Investment Securities, Inc. (NASD B/D)
Financial Principal – responsible for filing all focus and financial reports for the regulatory authorities. Prepared trial balance and financial statements for the firm on a compilation basis.
8/86 – 3/94 Duggan Securities, Inc. (formerly Duggan & Company Investment Securities) (NASD B/D)
Shareholder, Financial Principal and Chief Operating Officer – responsible for filing all focus and financial reports for the regulatory authorities. Prepared trial balance and financial statements for the firm on a compilation basis. Managed day to day aspects of the broker-dealer including but not limited to trading, registration, accounting, payroll, and all related filings, new accounts, and compliance.
1/86 – 8/86 Investment Management & Research (division of Raymond James Financial)
Investment Representative - Achieved significant and sustained production within the first 30 days of registration.
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