Retirement Income Certified Professional @
The American College
As Senior Director of Business Development for Cambridge Investment Research I recruit Financial Advisors in California, Arizona, Oregon, Washington, Nevada, Utah and New Mexico. Cambridge has been the Independent Broker/Dealer of the Year for 2014, 2013, 2012, 2010, 2008, 2007. My primary focus is identifying and consulting with entrepreneurial financial professionals dedicated to offering unbiased investment advice
As Senior Director of Business Development for Cambridge Investment Research I recruit Financial Advisors in California, Arizona, Oregon, Washington, Nevada, Utah and New Mexico. Cambridge has been the Independent Broker/Dealer of the Year for 2014, 2013, 2012, 2010, 2008, 2007. My primary focus is identifying and consulting with entrepreneurial financial professionals dedicated to offering unbiased investment advice to clients.
Specialties: CLU, ChFC, RICP, FINRA Series 4,6,7, 24, 26, 63. FINRA Arbitrator. AZ Life License. Expert witnessing
Senior Director, Business Development for Cambridge Investment Research @ As Senior Director of Business Development for Cambridge Investment Research I recruit Financial Advisors. Cambridge has been the Independent Broker/Dealer of the Year for 2014, 2013, 2012, 2010, 2008, 2007. My primary focus is identifying and consulting with entrepreneurial financial professionals dedicated to offering unbiased investment advice to clients. From November 2014 to Present (1 year 2 months) First Vice President, Client Solutions and Wealth Strategies @ As Vice President of the Client Solutions Group at Cambridge Investment Research, Inc., I am responsible for our Fee Based, Retirement Planning, Insurance, and Investment Groups. Our group is structured to assist our independent advisors with strategies to maximize their client's wealth management experience.
Investment Securities offered through Cambridge Investment Research, Inc., a Broker/Dealer, Member FINRA/SIPC and Investment Advisory Services offered through Cambridge Investment Research Advisors, Inc., a Registered Investment Adviser. Both are wholly-owned subsidiaries of Cambridge Investment Group, Inc. Cambridge and its predecessor Broker/Dealer was founded in 1981. Continuity Partners Group, LLC is a Broker/Dealer, Member FINRA. From October 2011 to October 2014 (3 years 1 month) District Manager @ Managed, Recruited and Trained, Waddell and Reed Financial Advisors From August 2010 to October 2011 (1 year 3 months) Owner @ Wholesale Financial Service Products, Consult with Financial Advisers on Practice Management, FINRA Arbitrator and Expert Witness. From May 2008 to October 2011 (3 years 6 months) Sr. Vice President @ Registered Representative and Registered Principal specializing in alternative investments, annuities, and life insurance. Specifically, third party marketing arrangements with select and unique investment opportunities. I am very selective in the products I choose to wholesale. I wholesale these opportunities to the Financial Advisor community. My Financial Advisors and their clients interests come first. From August 2008 to August 2010 (2 years 1 month) President, America's Fantasy Championship @ A premier fantasy sports players' website that mixes intense competition, large prizes, unique gaming options, and a commitment to philanthropic pursuits. From June 2009 to August 2009 (3 months) Sales Executive @ Marketed Vanguard products to Independent and Regional Broker Dealer Financial Advisors in the western United States. Responsibilities and accomplishments include:
• Territory and Financial Advisor sales management of 13 states and 18,000 advisors in the Western U.S.
• Sales and in-depth knowledge of Vanguard’s 33 Exchange Traded Fund and 120 Mutual Fund offerings.
• Integral part of sales team that increased Vanguard ETF assets by $40 billion the last two years.
• Marketing of Vanguard’s Financial Advisor value added services including: agency building, seminars, continuing education, practice management enhancements, advisor client feedback programs, fee base business transition; and Vanguard’s Financial Advisor website.
• Presenting to individual advisors, their teams, and large groups at field offices and industry conferences.
• Recorded thousands of sales contacts into ACT! and Siebel Client Relationship Management Systems. From November 1998 to March 2008 (9 years 5 months) Vanguard Sales Executive/ Compliance Officer @ From 1998 to 2008 (10 years) Corporate Compliance Officer @ Assured Vanguard’s Arizona Operation of 1100 employees and 800 registered representatives were in compliance with NASD and SEC regulations. Responsibilities included:
• Preparing the Office of Supervisory Jurisdiction (OSJ) for NASD and SEC audits.
• Training, coordinating, and presenting Vanguard’s firm element continuing education program, including the firm’s Annual Compliance Review, for its entire registered representative population (over 3500). From November 1998 to May 2003 (4 years 7 months) Branch Manager @ Supervised the sales activities of 20 Joseph Charles registered representatives. Responsibilities included:
• Conducting broker hiring, training and sales practice management.
• Responding to regulatory inquiries, including NASD arbitrations and customer grievances. From January 1998 to November 1998 (11 months) Vice President, Marketing and Compliance @ Compliance Principal for marketing firm assisting banks entering the insurance business. Responsibilities included:
• Making formal presentations to banks seeking Laughlin’s compliance and marketing services.
• Staffing bank branches with qualified Financial Advisors. From August 1996 to October 1997 (1 year 3 months) Financial Advisor/ Compliance Specialist @ Compliance Consultant/Analyst 1993 to 1996
Prudential Insurance Sales Representative/ Compliance Specialist 1987 to 1993 From March 1987 to July 1996 (9 years 5 months)
Retirement Income Certified Professional, Finance, General, Pass @ The American College From 2013 to 2014 Bachelor of Arts, Economics @ Rutgers, The State University of New Jersey-New Brunswick From 1982 to 1986 CLU, ChFC, Finance @ The American College From 1991 to 1994 Jeff CLU,ChFC,RICP is skilled in: FINRA Arbitration, Wholesaling, Sales Management, FINRA, Alternative Investments, ETFs, Business Planning, Series 7, Wealth Management, Series 63, Fixed Annuities, Mutual Funds, Financial Advisory, Wholesale, Strategic Financial Planning
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