What I do here:
Assist with the execution of the company’s strategies and initiatives, manage day-to-day business operations and serve as a member of the Management Committee.
Why I love my job:
I feel that we can make a positive difference for clients and their advisors and doing that every day with an incredible group of talented people with high integrity.
Work History:
I started my career in the financial services industry in 1982 with Merrill Lynch, working in both Denver and New York as an Operations Manager. After 5 years, I joined a Commodity Trading Advisor in Boulder, CO responsible for trade execution and technical charting covering twenty-four markets. In 1987 I went to Stuart-James Investment Bankers, Inc., managing regulatory compliance and client service. After nearly 4 years there, I was an Investment and Securities Employee Trainer with Charles Schwab. Continuing my career in Denver and expanding into investment advisory, I joined Portfolio Management Consultants, Inc. (PMC) in 1992, where I served in various positions including Director of Product Management and Development. After 6 years, I became a founding partner and a Managing Director of Investment Consulting Group in Denver, a firm that provided investment services to independent financial advisors. I served on the Board of Managers, was the Chief Compliance Officer, managed the day-to-day business operations. In 2003, I joined First Western Financial, Inc., a wealth management firm offering integrated investment and banking services to high-net-worth individuals and institutions. I was an Executive Vice President overseeing operations and also served as the Chief Compliance Officer for their fixed income registered investment advisor managing proprietary mutual funds, LP’s and separate accounts.
(For more information, see ADV-2B brochure supplement)
Education:
BS – Business Administration, Regis University, Denver, Colorado, 1982
Previously held FINRA Licenses, Series 7, 8, 24, 63; current Series 65
Where I come from:
I was born and raised in Wisconsin, came out to Colorado for college and never left.
A Little Personal:
I love outdoor adventure of any sort and listening to live music.