Responsible for leading Wealth, Advisory, and Trust efforts regarding business optimization and transformation, wealth platform and digital strategies, and large-scale integrations.

Managing Director

Edward Jones

Direct responsibility for leading the Brokerage product strategy.  Strategies included ETFs, Mutual Funds, Equities, Bonds, and MLPs.  
Co-led a firm-wide program designed to ensure compliance to an SEC mandated regulation requiring broker-dealers to enhance the standard of conduct beyond suitability responsibilities.  This program impacted over 5M accounts and was executed on time and on budget

Growth Leader

TD Ameritrade

Responsible for overall operation of registered investment advisor including-platform operations, sales strategy, product development, compliance, legal, and financial performance.

Chief Operating Officer (TD Ameritrade Investment Management)

Established TDA's Portfolio Guidance team.  This team of 4 managers and 25 Portfolio Consultants, CFAs and CFPs, was responsible for the creation and development of TD Ameritrade’s discretionary asset management platform - Personalized Portfolios. Created the sales and training program for designing custom investment portfolios for UHNW families including asset management, tax planning, generational wealth transfer, insurance and overall financial planning.

Responsible for leading the portfolio construction team tasked with discretionary management of approximately $20B in AUM placed across 15 investment strategies.  These strategies included discretionary ETF/MF strategies, a robo-advised strategy, as well an ESG strategy.

Led the development and go-to-market strategy for TDA's innovative personalized portfolios. Personalized Portfolios allowed investors to provide input into the managed and construction of their individual portfolios with respect to outside holdings, persona preferences, and market outlook.

Director, Portfolio Construction and Advice

SVP and Head of Retail Product and Digital Solutions with accountability for Investor, Active Trader, and Advisory segment. Including fee-based Advisory programs, ETF/Mutual Funds, and Retirement strategies.  These responsibilities include overall strategic direction of the investor website, mobile app, and all Trader and Investor platforms.

Head of Wealth Product and Digital Solutions (Scottrade)

Architect of Scottrade's first Advisory platform.  Created and launched ETF based Advisory program in under nine months from "Day 0" to first account being opened.

Program gathered over $2B in AUM within two years of launch, the fastest growing guidance program on one of the largest investment technology platforms in the US.

Co-led the development and creation of the Guidance Sales team, 4 Divisional Guidance managers and 25 guidance advisors responsible for working with investors across 500 branch offices in 48 states.

As the Executive Officer of Scottrade's RIA (Scottrade Investment Management-SIM) I was responsible for the overall strategic leadership, supervision, and financial performance of the RIA.  Provided operational and financial updates to the Board on a quarterly basis and was the primary contact with our regulators and external consultants.

Vice-President Advisory Solutions (Scottrade) 

Manager-Research

A.G. Edwards

Supervisory Analyst

Moneta Group

Director of Investments

Stifel Nicolaus

VP Capital Markets Syndication

Wayne Hummer Investments

Director of Research

Experienced Wealth management executive with hands on accountability for growth and sales leadership, investment advisory development, platform transformation, operating model reviews, advisor experience, digital strategy and large-scale business transformation and execution
Specialties: Licensed--Series 7, 8, 16, 24, 63, and 65.
Certified Investment Management Analyst (CIMA)
C.F.P. Professional Education Program

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