Summary
Overview
Work History
Education
Skills
Certification
References
Timeline
Generic

Brian McKoy

Danbury,CT

Summary

Dynamic FINRA Series 7, 24, 53, 63, and 65 licensed financial professional with extensive equities market experience, excelling in regulatory compliance and client suitability assessment. Proven ability to enhance client relationships and deliver strategic investment solutions. Skilled in legal research and data analytics, effectively communicating complex concepts to diverse audiences while ensuring adherence to industry standards.

Overview

19
19
years of professional experience
1
1
Certification

Work History

Business Acceptance Principal

MassMutual
Springfield, MA
11.2021 - Current
  • Assess transactions and product recommendations from financial advisors to clients, ensuring compliance with client best interests and adherence to firm regulatory standards and Securities and Exchange Commission's Regulation BI (Best Interest).
  • Analyze regulatory trends affecting company and securities sector to ensure Financial Advisors maintain compliance
  • Alert financial advisors about deviations in recommendations from firm regulatory standards or Regulation BI standards, explain rationale behind non-compliance, and review potential alternatives with advisors.

Legal Intern

Office of the Corporation Counsel
Yonkers, NY
05.2022 - 05.2025
  • Conducted legal research using databases such as LexisNexis and Westlaw to support case preparation.
  • Reviewed legal documents and provided summaries of their contents.
  • Assisted in analyzing legal issues and proposing potential solutions to attorneys.
  • Worked independently to meet deadlines and achieve objectives for special projects.

Advice Center Consultant/Virtual Advisor

People's Securities Inc.
Bridgeport, CT
12.2016 - 11.2021
  • Conducted risk assessment questionnaires to evaluate client suitability, and provided recommendations of mutual funds and managed investment portfolios to clients.
  • Managed diverse customer service inquiries, including processing check requests, outgoing wire requests, trading inquiries, and product and service questions.
  • Educated customers on various investment vehicles, including stocks, options, and mutual funds, and instructed clients on the differences between account types, such as Traditional, Roth, SEP, Simple IRAs, Annuities, and 529 plans. Explained order types, margin requirements, dividends, and stock splits to enhance customer understanding.
  • Placed stock, mutual fund, options, and a host of fixed-income product trades for customers over the telephone and in person.

Financial Advisor

Merrill Lynch, Pierce, Fenner & Smith
New Haven, CT
04.2015 - 02.2016
  • Monitored the equity and credit market conditions, news events, and economic indicators in order to identify potential investment opportunities.
  • Recommended various products to clients while educating them on the functionality of the equities and credit markets, order types, margin, and a multitude of investment options.
  • Assessed client needs, investment objectives, and goals to determine appropriate products or solutions for clients.
  • Executed outbound calls to prospective clients for organizing direct discussions regarding financial needs, goals, and objectives.

Discount Stockbroker

People's Securities Inc.
Bridgeport, CT
07.2013 - 04.2015
  • Resolved diverse customer service inquiries encompassing account password resets, check requests, outgoing wire requests, trading inquiries, and product and service questions.
  • Advised customers on multiple investment vehicles, such as stocks, options, and mutual funds, as well as different account types, including Traditional, Roth, SEP, Simple IRAs, 529, and Keogh plans.
  • Executed self-directed stock, mutual fund, options, and various fixed income product trades for customers via telephone and in-person interactions.

Branch Stockbroker

Scottrade/Scottrade Bank
West Hartford, CT
09.2011 - 07.2013
  • Implemented proactive outbound calling initiatives aimed at existing Scottrade customers to maximize asset acquisition via account consolidation.
  • Analyzed client needs, investment objectives, and goals to effectively align products or solutions with client profiles.
  • Facilitated trades for customers in person and via telephone.

Financial Consultant/Relationship Manager

E*Trade Financial/E*Trade Bank
Scarsdale, NY
11.2006 - 11.2010
  • Forged strong relationships through telephone outreach and direct branch engagement, focusing on retention of assets from affluent households with minimum $250,000 at E*Trade Financial.
  • Managed a client portfolio of roughly 250 clients valued at approximately $270 million in assets.
  • Fostered existing and prospective client relationships while identifying opportunities to enhance these connections through creative and innovative responses to sales opportunities.
  • Analyzed clients' financial circumstances via in-person discussions and thorough KYC profile assessments, pinpointed investment goals, and offered strategic guidance on a range of investment solutions.

Education

Bachelor of Science - Business Administration

MERCY UNIVERSITY
Dobbs Ferry, NY

Juris Doctorate -

UNIVERSITY OF CONNECTICUT SCHOOL OF LAW
Hartford, CT

Skills

  • Legal research (LexisNexis, Westlaw)
  • Data analytics
  • Regulatory compliance
  • Client suitability assessment
  • Risk assessment
  • Relationship management
  • Effective verbal and written communication
  • Microsoft Word, Excel, and PowerPoint

Certification

  • Finra Series 7 License
  • Finra Series 24 License
  • Finra Series 53 License
  • Finra Series 63 License
  • Finra Series 65 License
  • Paralegal Certificate

References

References available upon request.

Timeline

Legal Intern

Office of the Corporation Counsel
05.2022 - 05.2025

Business Acceptance Principal

MassMutual
11.2021 - Current

Advice Center Consultant/Virtual Advisor

People's Securities Inc.
12.2016 - 11.2021

Financial Advisor

Merrill Lynch, Pierce, Fenner & Smith
04.2015 - 02.2016

Discount Stockbroker

People's Securities Inc.
07.2013 - 04.2015

Branch Stockbroker

Scottrade/Scottrade Bank
09.2011 - 07.2013

Financial Consultant/Relationship Manager

E*Trade Financial/E*Trade Bank
11.2006 - 11.2010

Bachelor of Science - Business Administration

MERCY UNIVERSITY

Juris Doctorate -

UNIVERSITY OF CONNECTICUT SCHOOL OF LAW

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