Biographical Info

I have been in the financial services industry since graduating college in 1996. I have been on the compliance side of the business since 2000.
I really enjoy working at Western Int’l Securities. We strive to provide a level of service in the compliance department not often seen in our industry. Our advisors are our clients and we work with them to help them achieve their goals.
What are your hobbies?
I hold the FLMI and AIRC which are both insurance related designations. I began my financial services career with Protective Life in Birmingham, AL and later move to their broker/dealer, ProEquities.
I have worked with firms of all sizes, but mostly mid-sized (300 advisors +/-).
I have developed several databases that range from commissions to trade blotter exception reports.