Russell W. Norwood, CIMA®, CFP®
CEO | Founding Partner
CEO | Founding Partner
Russ Norwood is a Founding Partner and the Chief Executive Officer for Venturi Wealth Management. Russ provides investment guidance and wealth management strategies to highly affluent clients, with particular depth in discretionary portfolio management, alternative investments, and estate planning. He has significant experience providing planning and investment advisory services to clients with concentrated wealth, predominantly from the ownership of closely held businesses or equity ownership in a publicly traded company. A strategic thinker, Russ is adept at connecting a client’s long-term wealth management needs with his or her near-term investment selection and structure.
Prior to founding Venturi Wealth Management, Russ spent more than twenty three years at Merrill Lynch, where he was a Managing Director and Private Wealth Advisor within the Private Banking and Investment Group. Russ has worked in financial services since 1986. He began his career at Prudential Bache in the Corporate Executive Services Department. Russ earned his B.A. in Business Economics from the University of Texas at Austin. He holds the Certified Investment Management Analyst® (CIMA®) and CERTIFIED FINANCIAL PLANNERTM (CFP®) designations.
Barron’s magazine has named Russ one of the Top 1,000 Financial Advisors in America from the inception of the accolade in 2009 through 2015, inclusively.*
Russ has served on a number of boards ranging from large-budget social service organizations to his school district’s education foundation. An Instrument-Rated Private Pilot and an avid aviator, he flies volunteer missions for Angel Flight, an organization that provides free medical transportation to patients battling cancer and other serious illnesses. In his free time, he enjoys hunting, fishing, tennis, and golf.
*Advisors considered for the ranking have a minimum of seven years financial services experience and have been employed at the firm for at least one year. Quantitative and qualitative measures used to determine the Advisor rankings include: client assets, return on assets, client satisfaction/retention, compliance records, and community involvement, among others. Barron’s does not receive compensation from Advisors, participating firms and their affiliates. The rating is not indicative of Venturi Wealth Management’s future performance.
Senior Managing Director - Private Equity
Jim Kozlowski is a Senior Managing Director of Private Equity at Venturi Wealth Management. Jim leads our private equity effort with Venturi Investment Partners.
Prior to joining Venturi, Jim was a Co-Founder and President of TGF Management Corp., one of the most active and successful middle market investment firms in the Southwest. Under the Texas Growth Fund and Southwest Opportunity Partners banners, he managed a series of funds totaling more than $700 million dedicated to investing in companies located in Texas and throughout the Southwest. TGF acquired or invested in 47 middle market companies in a variety of industries.
Prior to TGF, Jim was a Managing Director at Fortis Private Capital in New York, a Vice President at Merrill Lynch Venture Capital in New York and Director of New Business at Tenneco Ventures in Houston. He has also worked in the Corporate Finance Group at Credit Suisse First Boston and the Commercial Lending Division of Chemical Bank in New York.
Jim received his MBA from Harvard Business School and his BA degree in economics from Harvard University. He also was a Fellow in the Harvard Advanced Leadership Program in 2014. Jim is an alumnus of the Texas Lyceum, the Texas Business Hall of Fame, and the Association of Corporate Growth. He is actively involved in the Young Presidents' Organization, Association for Corporate Growth, and the World President's Organization. Jim is the past Chairman of the Children's Medical Center Foundation of Central Texas and current Chairman of The Comfort Crew for Military Kids.
Senior Client Associate
Michael joined Venturi as a Senior Client Associate in 2016. She assists clients with the onboarding process, service requests, and current account information. She is also responsible for coordinating special events.
Previously, Michael has had extensive experience in event coordination, public relations, and administrative operations spanning the medical, sport, and private equity industries. Most recently, she served as the Acquisitions Coordinator at a private equity firm specializing in real estate investments.
Michael holds a Bachelor of Communication degree with a concentration in Studio Art from Wake Forest University. In her free time, she enjoys exploring Austin with her husband and two children.
Mike Sanders is President of Venturi Wealth Management. For over 25 years, Mike has built and overseen sales, marketing and research organizations for companies in the financial services industry. He also brings operational expertise through his prior roles. Mike spent 24 years at Goldman Sachs Group, Equities Division, where he was the Partner and Managing Director responsible for the US Shares Institutional sales force and founding of the Hudson Street initiative in 2006.
Mike has also served as Executive Director and Head of Sales at Potomac Research Group Holdings, LLC. Prior to this, he was the Chief Executive Officer at Davis, Mendel & Regenstein, Inc. and Executive Director of Ned Davis Research. His primary role was establishing a longer-term strategic direction for the firm. He was instrumental in business development, client relationships, new sales and marketing initiatives, product development, and profitability.
Mike received a Bachelor of Business Degree from the University of Texas at Austin. He has served as a Board Member of Wall Street on Demand (Markit). Mike enjoys spending time with his wife, Natalie, traveling and visiting with friends in Telluride, Boston and Austin. They have four children and two grand children.
Chief Financial Officer | Chief Operating Officer
Mike Banks is the Chief Financial Officer and Chief Operating Officer of Venturi Private Wealth. He brings 25 years of finance and operational experience to the firm. Mike provides fiduciary oversight and financial management of the firm, infrastructure development, and controls to ensure prudent management of client assets. Mike provides business advisory consulting on personal business matters of clients primarily in private business evaluations, financial assessment including modeling, investment due diligence, and M&A pre-planning.
Mike has a proven track record working with companies in high growth environments. Prior to joining Venturi, he led the finance & operations of two growth companies, both resulting in successful liquidity events. He has provided financial consulting on over 100 different business engagements over a broad range of industries including software, SaaS, semiconductor, manufacturing, renewable energy, service, and healthcare. He has led successful early-round equity fundings and debt financings.
Mike earned an M.B.A. from the University of Texas at Austin and a Bachelor’s of Science in Mechanical Engineering from Texas A&M University. He received his Chartered Financial Analyst (CFA®) designation and holds co-ownership in two technology patents. He has been an instructor on renewable energy economics and corporate M&A. He has been an executive advisor to a local Austin private school and served on the Finance Committee of the City of Sunset Valley.
In his free time, Mike enjoys spending time with his wife, Janna and their three children. He also spends as much time as possible at LadyBird Lake, where he attempts to run.
Chief Compliance Officer | General Counsel
Dave Swann is Chief Compliance Officer and the General Counsel of Venturi Private Wealth. Utilizing more than 20 years of industry experience, he is responsible for the administration, direction, management, and oversight of the compliance and legal functions at Venturi.
Prior to joining Venturi, Dave served as the Chief Compliance Officer at Meritage Capital, an Austin based firm that specialized in hedge fund investment solutions. Meritage Capital was acquired by Brown Advisory in 2018.
Prior to Meritage Capital, Dave served as the Regulatory and Legal Officer at the Virginia Retirement System. He also served as the Chief Compliance Officer for nine years for an investment advisory firm located in Austin, Texas. Prior to his career in investments, he served as an Assistant City Attorney providing legal guidance to the San Antonio Local Development Company and the City’s Economic Development Department.
He received a B.A. from the University of Virginia, an M.B.A. from Jacksonville University and a J.D. from St. Mary’s University School of Law. Dave is a licensed attorney in the State of Texas. Dave enjoys spending time with his family, playing guitar, and fishing.
Alex Clendennen is a Lead Advisor for Venturi Wealth Management. Alex engages with clients to construct in-depth financial plans that address critical areas of wealth management including estate planning, cash flow analysis, liquidity risk, trust management, and philanthropic giving. Alex also works with the investment team to ensure proper alignment between clients’ wealth management goals and their portfolio investment strategy.
Previously, Alex spent 5 years as a Financial Advisor and Analyst at Merrill Lynch where he provided comprehensive wealth management services for high net worth families in the Austin area. Alex attended The University of Southern California where he earned his B.S. degree in Business Administration with a concentration in Finance. Alex is a CERTIFIED FINANCIAL PLANNERTM(CFP®) and recently earned the Certified Private Wealth Advisor® (CPWA®) certification, which is the only advanced certification designed for wealth managers who advise ultra high-net worth clients.
Alex’s wife Lina recently finished her DDS degree at Baylor College of Dentistry and is a practicing dentist in Hutto. Alex and Lina welcomed their first child, Emmett, in September 2017. Outside of work, Alex enjoys traveling with Lina and volunteering for The Missy Project, a local non-profit.
Senior Lead Advisor
Chris Creed is a Senior Lead Advisor for Venturi Wealth Management. Chris partners with new clients to organize, plan, and manage all aspects of their family’s financial life. As a Certified Financial Planner® professional and recently earned the Certified Private Wealth Advisor® (CPWA®) certification, which is the only advanced certification designed for wealth managers who advise ultra high-net worth clients. Chris creates customized wealth planning strategies unique to highly affluent clients.
Having twenty-four years of experience in the industry, Chris brings a unique perspective to the role. Prior to joining Venturi, Chris was a principal at AFAM Capital, running their Private Client Group Business Development. For the seven years prior to joining AFAM, he was Regional VP, Southeast for Fisher Investments Private Client Group. He was the owner of an independent wealth management practice, Creed Capital Management (2003-2006), through Wachovia Securities Financial Network, which he later sold to another advisory firm. From 1994 to 2003, Chris was an investment representative with Edward Jones, where he also held roles in both the hiring and training of new advisors.
Chris holds a B.A. in Marketing from Southeastern Louisiana University. Chris enjoys tennis, skiing, boating and “quietly” supporting his two kids on their respective sporting events.
CIO | Founding Partner
George Clark is a Founding Partner and the Chief Investment Officer for Venturi Wealth Management. George applies his extensive institutional capital markets experience to developing tailored investment strategies for clients. He is skilled in investment evaluation and selection, portfolio design, risk assessment, and macro strategy. George works in concert with the team to ensure that a client’s investment profile aligns with his or her wealth management initiatives.
Prior to moving to Venturi Wealth Management, George spent 18 years managing large institutional relationships for Merrill Lynch in Texas and the Southeastern United States. He focused on investment strategy and equities allocations for institutions between $2 -$100 billion. George also spent four years at the Texas Permanent School Fund, where he was an Equities Trader and Sector Analyst for the $29 billion endowment. George holds a B.B.A. in Finance from the University of Texas at Austin. He is a Chartered Financial Analyst® (CFA®) charterholder.
Senior Client Associate
Taylor is a Senior Client Associate at Venturi. She joined the Venturi team in 2015. She guides clients through the onboarding process, working to ensure that clients experience a seamless transition. She serves as a dedicated point of contact for service issues and keeps clients informed about their account transactions and status. Taylor finds joy in getting to know each client personally and efficiently meeting their needs.
In her previous role as a consultant in the Transitions Management department of Raymond James, Taylor worked with Venturi team members. Prior to working at the Raymond James home office in St. Petersburg, Florida, Taylor honed her client service skills at an investment firm in Starkville, Mississippi.
Taylor holds a Bachelor of Business Administration degree with a concentration in economics from Mississippi State University. She is also a Financial Paraplanner Qualified Professional™. Taylor enjoys indoor cycling, yoga, and exploring all that Austin has to offer.
Senior Lead Advisor
Kent Mitchell is a Senior Lead Advisor at Venturi Wealth Management. Kent focuses on a comprehensive approach to wealth management for clients with significant net worth, including complex tax and estate planning needs. Kent believes that understanding family dynamics is essential to superior wealth management and that effective planning helps clients maintain financial independence and the ability to pursue what is important to them. Looking beyond clients’ portfolios – and helping them look forward – is critical to helping clients achieve their most cherished goals and is the basis behind Kent’s approach.
Kent joins Venturi with 16 years of industry experience serving individuals, families, and institutions. Most recently Kent was a Vice President at Merrill Lynch and in addition to his Advisory responsibilities Kent also served in leadership roles in Austin, Texas.
Kent was born and raised in Kinnelon, New Jersey and is a graduate of Gettysburg College with degrees in Business Management and Political Science. At Gettysburg, he participated as a member of the football team and continues his involvement by volunteering to mentor recent Gettysburg graduates. He is also involved in the community as a board member of the National Center for Missing and Exploited Children. Kent currently resides in Lakeway with his wife Ann and children Andrew and Vivian.
Lead Advisor | Insurance Services
Rodney Gamble is a Lead Advisor of Insurance Services for Venturi Wealth Management. Rodney is passionate about providing his clients with the best plan tailored for their unique situation. He is consistently learning about their needs and the options that will best accomplish their goals. He has significant experience in working with individual clients and business owners in providing individual life insurance for estate planning and business needs.
Prior to joining Venturi Wealth Management, Rodney worked for over 35 years in providing strategic financial planning for corporations, government entities, privately owned businesses and individuals. From 1991-2016 he had his own firm in providing life insurance and group benefits. Before starting his own firm, Rodney was a business manager at Lockheed Missiles and Space. He was responsible for managing budgets of over $200 million dollars in funds. He has multiple awards and honors including; Lifetime Member of the Million Dollar Round Table, Jefferson-Pilot Sales Leadership Recognitions, New York Life Associate of the Year, Lockheed Performance Incentive Award and Lockheed Productivity Improvement Program Award.
Rodney is a native Austinite and received his BBA in Finance from The University of Texas. He has been married to his wife Debbie for over 37 years and they have 3 adult sons. They currently reside in Lakeway and attend Lakeway Church. They continue to be actively involved in the Lake Travis and Austin communities. In his spare time Rodney enjoys camping, hunting, tennis and golf.
Senior Portfolio Manager
Kyle Smith is a Senior Portfolio Manager at Venturi Private Wealth. For nearly 20 years, Kyle has been helping investors construct and manage customized, multi-asset investment solutions that are tailored for unique goals and preferences. In addition, Kyle also brings product development and investment strategy expertise, as well as a wealth of information regarding global capital markets and evidence-based investing.
Kyle joined Venturi from Dimensional Fund Advisors where he was a Regional Director and consulted with Registered Investment Advisors in all areas of investments, client communication, and business strategy. Prior to Dimensional, Kyle worked for the Multi-Asset Strategies group within BlackRock Inc., where he held multiple roles including Investment Strategist and Portfolio Manager. As an Investment Strategist, Kyle was a member of the Model Portfolio Solutions team and helped to develop, manage, and distribute model portfolio solutions across the world. As a Portfolio Manager, Kyle managed dynamic, bespoke multi-asset portfolios for high-net-worth and institutional clients.
Kyle received his Bachelor’s degree in Economics and Business from the University of Texas at Austin, and earned an MBA from the University of Houston. In addition, Kyle is a Chartered Financial Analyst (CFA) and a Certified Financial Planner (CFP®). Kyle enjoys spending time with his wife, Amanda, traveling, and watching Texas Longhorns football. They have two beautiful daughters – Lily and Stella - and currently reside in Lakeway, TX.
Senior Portfolio Manager
Westin is a Senior Portfolio Manager with Venturi Wealth Management. Westin focuses on developing and managing tailored investment strategies for clients and ensuring proper alignment with client’s wealth management goals. Additionally, as a member of Venturi’s Investment Team he is responsible for helping formulate Venturi’s asset allocations, investment outlook, and market views.
Previously, Westin spent 10 years as a Vice President at JPMorgan both in New York and Austin in a variety of investment roles. Most recently he was an Investment Specialist with JPM’s Private Bank where he was responsible for the portfolio construction and management of investment portfolios and providing clients with advice and execution across global markets. Additionally, he held roles as an Investment Research Strategist and also in the Investor Relations group. His primary role was to help manage the firm’s earnings related dialogue with its largest investors as well as the sell research analyst community.
Westin holds a B.B.A. in Finance & Accounting from Texas Christian University. He is a Chartered Financial Analyst® (CFA®) charter holder. Westin and his wife, Amy, relocated to Austin in 2016 and have a young son and daughter, Wade & Arden. Westin enjoys competing in bike races as well as running, hiking, and being outdoors with his family.
Grant Kinchen is a Lead Advisor for Venturi Wealth Management. Grant concentrates his efforts on working with affluent individuals, families, and institutions that seek financial well-being. He focuses on simplifying all aspects of client’s financial lives and helps them to articulate and prioritize goals for their wealth. Grant is a Certified Private Wealth Advisor® (CPWA®) which allows him to create unique and meaningful strategies for sophisticated and highly affluent clients.
Grant began his career in Houston as an energy commodities advisor focusing on natural gas and electricity derivatives. Grant earned his Bachelor of Science degree in Economics from Texas Tech University in Lubbock, Texas and is a passionate supporter of his alma mater.
Grant is active in the local community through Habitat for Humanity and is on the board of the Coastal Conservation Association’s Austin Chapter. Grant lives in South Austin with his wife Brandy and their two Boston Terriers. In his spare time, he enjoys golf, fishing, hunting, and spending time with family and friends.
Matthew Maxcy is an associate advisor at Venturi Private Wealth. Matthew works alongside clients to assess financial health and define goals. He uses this joint approach to craft strategies that help clients preserve and grow wealth in a manner consistent with their needs and values. Matthew developed his commitment to collaborative servant leadership during his nine-year career as a US Army officer prior to joining Venturi. He gained valuable experience in coordinating people and resources to achieve common goals as he worked to lead and serve his soldiers, their families, and the greater community. He also traveled or worked in over twenty countries, gaining a thorough appreciation for the value in connecting with people from varied backgrounds through meaningful, personal relationships.
Matthew is a Colorado native, a graduate of the United States Military Academy at West Point, and earned his MBA at the McCombs School of Business at UT Austin. He lives in North Austin with his wife Christine and two daughters. When not at the office, Matthew also volunteers at his church and serves as a mentor to other veterans pursuing business careers. He enjoys hunting, fishing, reading history, and spending time with his family exploring activities in central Texas.
Cole Edmiston is an Associate Advisor at Venturi Wealth Management. Cole works with families and individuals to create strategies to allow their wealth to achieve their aspirations. Cole’s primary goal is to put clients’ interests first, and then work tirelessly to ensure their goals are the drivers of their long-term strategy and investments.
Cole attended Baylor University where he played four years on the football team. A strong supporter of his alma mater, you can still find Cole in Waco on a fall Saturday watching the Bears play. He earned his Bachelor of Business degree in Finance and Marketing.
Cole lives in South Austin with his miniature Schnauzer, Samson. Away from the office, Cole is active in his church. During his time at Baylor, he was very involved in the Fellowship of Christian Athletes program, as well as the Humane Society. During his free time, Cole loves to play golf, spend time at the lake, and visit with his family.
Senior Client Associate
Susan is a Senior Client Associate for Venturi Wealth Management. She assists clients with the onboarding process ensuring that the client’s experience is a seamless transition.
Previously, Susan worked as a Client Service Associate at Hudson City Savings Bank and more recently, served as a Team Lead in Deutsche Bank’s corporate cash management division in New York. Susan holds a Bachelor of Communication degree from Rutgers University. During her free time, she enjoys playing tennis and going on hikes with her fiancé and their dog, Twitch.
Richard Orlando, Ph.D., founder and CEO of Legacy Capitals LLC, is a special advisor to Venturi Wealth Management. For the past quarter century, he has worked globally with executives, entrepreneurs, and professional athletes, as well as families, work teams, and organizations, who strive for success or have already reached significant levels of success.
Author of LEGACY: The Hidden Keys to Optimizing Your Family Wealth Decisions, Richard Orlando serves as a trusted advisor, consultant, and coach to high net worth and ultra high net worth individuals and families—some of which lead very successful family businesses. In addition, he has worked with Barron’s & Forbes Top 100 Financial Advisors, as well as leaders and high performing teams nationally and internationally.
Dr. Orlando has an interdisciplinary background, holding degrees in computer science, business, and psychology. After earning a Bachelor of Science degree in computer science and business from St. John’s University, he pursued a career on Wall Street and earned his Series 7 and 63 licenses. Returning to school, he received a master’s degree in counseling/theology from Trinity International University. Continuing his education, he earned a doctorate in family systems from Seton Hall University, during which time he interned with the New York Giants football team. His dissertation research focused on wealth management family teams.
Dr. Orlando is an approved instructor for IMCA’s Certified Private Wealth Advisor® Certification Program and has earned a certificate in family wealth advising from the Family Firm Institute and holds a certified professional coach designation from an International Coach Federation accredited program.
He has been referenced in numerous publications including the New York Times, Bloomberg Business, Wall Street Journal online, Trusts & Estates, WealthManagement.com, ThinkAdvisor, Family Business Magazine, Private Wealth Magazine, Family Wealth Report, Private Wealth Focus, Chicago Tribune, CFA Magazine, Merrill Lynch Advisor, Research, Bloomberg Wealth Manager, On Wall Street, and Registered Rep. He has conducted hundreds of presentations to various groups and organizations, including the Citi Private Bank, Wells Fargo Private Bank, Family Office Association (FOA), Family Office Exchange (FOX), Family Business Alliance, Morgan Stanley, UBS, Merrill Lynch, U.S. Trust, HighTower, Dynasty Financial Partners, Fieldpoint Private, Odin, Feldman, and Pittleman law firm, Vorys, Sater, Seymour and Pease law firm, Purposeful Planning Institute, Kegler, Brown, Hill and Ritter law firm, Janney Montgomery Scott, YUM! Brand executives, Wealth & Legacy Group, Young Presidents Organization, and Vistage International. He has also spoken at various industry conferences such as the NY Chapter of Exit Planning Institute, Philadelphia Financial Planning Association (FPA), Estate Planning Council of NYC & NJ, NJ Financial Planners Association, Barron’s, Attorneys for Family-Held Enterprises, Securities Industry Institute, and Investment Management Consultants Association.
Dr. Orlando is on the board of director’s at Urban Hope in Staten Island, New York. He was born and raised in New York City, and currently resides in Bucks County, Pennsylvania, with his wife and their children.
Joey Sager is a Managing Director for Venturi Wealth Management. His career began in 1985 at Merrill Lynch, where he became a Certified Financial Manager. Joey has been recognized by Wells Fargo Advisors as a Premier Advisor each year from 2002 through 2017. He was honored by The Winners Circle LLC in Oklahoma Magazine in 2008, and by Barron’s Magazine in 2009, as a top 1,000 Advisor which included being ranked the Top Financial Advisor in Oklahoma.
Joey is active in his church, serving on leadership and ministry teams. He has been a speaker at Christian events for over 25 years and has traveled regularly with mission teams in Latin America, Africa, Eastern Europe and the Middle East. He volunteers with children’s group homes, coordinated a children’s eye clinic at a local mission center, and served as a volunteer and director at a clinic that offers free medical and counseling services. He leads a community development project called Shared Success in Nicaragua, Uganda, and Oklahoma City which helps aspiring leaders develop sustainable, income-producing businesses. Past service includes director or leadership positions with Ethnographic Media, INFO (a statewide support group for those with an incurable genetic disorder), Ministries of Jesus, Oklahoma Youth Expo, and Southwestern Oklahoma State University Foundation.
Joey serves on numerous boards, including Friends of the Oklahoma History Center, Integris Baptist Medical Center, Integris Health, Oklahoma Pilot’s Association, One World, the Sirloin Club of Oklahoma, and Southwest American Livestock Foundation.
He and his wife Danielle, both pilots and musicians, enjoy many hobbies together including cars, boating, scuba diving, traveling, reading, and relaxing at the lake with their daughter, Josie, and their son, Jett. As an instrument-rated pilot, flying airplanes and helicopters, Joey’s interest in aviation and space history has opened the door to friendships with several Gemini and Apollo-era astronauts, including many who went to the moon.
Senior Lead Advisor
DeWayne Crunk is a Senior Lead Advisor at Venturi Wealth Management. He has worked in the Financial Services industry since 1986. DeWayne served as the Senior Financial Consultant and Vice-President with Merrill Lynch for 9 years. He held positions with Smith Barney as a Vice-President and Branch Manager for 13 years. Prior to joining Wells Fargo Advisors in October 2013, he was the Vice President and Financial Consultant for RBC Wealth Management.
DeWayne is a member of the Investment and Wealth Institute. He received the Certified Investment Management Analyst designation (CIMA) from the Wharton School of Business at the University of Pennsylvania. DeWayne earned his M.B.A. in Finance from Oklahoma City University and his B.A. from Louisiana Tech University.
Senior Client Associate
Melissa Heiman is Senior Client Associate at Venturi Wealth Management. She helps manage the daily operational and administrative functions and strives to simplify clients’ lives.
Melissa earned a Bachelor of Science in Family Studies and Human Services with a concentration in Family Life and Community Service from Kansas State University. She has obtained these registrations: Series 7 General Securities, Series 66 Uniform Securities Law, Series 3 Futures, as well as Insurance & Annuities licenses.
Melissa is a graduate of Leadership Oklahoma City’s LOYAL (Linking OKC’s Young Adult Leaders) program – Class XI and a current member of the Regional Food Bank of Oklahoma City’s Leadership Council – Class IV. She also coordinates the Oklahoma City-area K-State Alumni group.
Senior Client Associate
Pat Fletcher is Senior Client Associate at Venturi Wealth Management. With a strong background in brokerage operations, administration, management, and accounting, Pat is ideally suited for her position.
Pat’s financial services career began in 1995 in the operations area for Prudential Securities. Soon after, she obtained the following registrations: Series 7 General Securities, Series 63 State Securities, Series 65 Managed Money, Series 3 Futures, Series 8 Securities Supervisory as well as the appropriate Insurance & Annuities Licenses.