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Financial Advisor

Raleigh, NC


Financial Advisor, Branch Manager

  • Financial advisor with over 30 years of Financial Services experience including financial planning, brokerage trading, and banking,
  • Knowledgeable with insurance products, bank channel investment sales and compliance as well as comprehensive financial planning in the independent financial advisor channel.

    Work Experience

    Financial Advisor, Branch Manager

    Raymond James Financial Services, Inc., Raleigh, NC

    Jan 1999Current

    • Responsible for making financial recommendations with regards to financial objectives and adjusting asset allocations to fit within a defined financial strategy that is developed and implemented by me as the advisor.

      Financial Advisor, Branch Manager

      Robert Thomas Securities, Inc, Raleigh, NC

      Jun 1993Jan 1999

        • Served as the affluent clients' primary financial advisor, managing and delivering financial products and services (including banking and lending, wealth management, financial planning, risk management, and estate planning) via on-going relationships.

        Financial Advisor, Branch Manager

        Spear Securities, Inc., Raleigh, NC

        Aug 1983Jun 1993

        • Handled Operational and Procedure assistance for Financial Advisors, Branch Personnel,  as needed for office workflow.
        • Directly managed the financial sales and expense results and implemented business development strategies and tactics to ensure branch profitability.


        Business Management and Economics

        North Carolina State University, Raleigh, NC


        Additional Information

        Currently hold the following licenses.
        Series  6- Investment Company Products/Variable Contracts 
        Series 7- General Securities Representative
        Series 24- General Securities Principal
        Series 4- Registered Options Principal
        Series 53- Municipal Securities Principal
        Life Insurance License, State of North Carolina 
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