Luz A.
Central Supervision Principal at Lpl Financial
Based in Bronx, United States
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Seniority
Director
Department
General Business & Management
Location
Bronx
Industry
Financial Services
Company size
14K
Contact information
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l•••••••@••••••.com
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Background
About Luz A.
Experience in the Financial Services Industry in Sales and Field Supervision with Domestic and International brokerage background. Extensive product knowledge including; Equities, Bonds, Mutual Funds, UITs, Fixed & Variable Annuities, REITs, and other Alternative Investments. Currently in a supervision role, conducting suitability review of First Line Supervisor’s Transactions, New accounts, account changes, E-mail review and Written Correspondence. Maintain an ongoing positive relationship with managers to address concerns and educate them on supervisory process. LICENSES: Series 7, 63, 24, 53, 9, 10, Life and Health Insurance /Annuities CERTIFICATION: Certified Financial Planner Designation Specialties: Supervision,Compliance, Financial Planning
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Ashley Kelly
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