Christian Adams
San Diego,CA
Summary
Financial services professional with 6+ years of experience across retirement planning, wealth management, investment suitability, and SEC/FINRA compliance. Experienced in guiding clients through complex retirement decisions, supporting financial advisors, and analyzing financial information with accuracy. Currently pursuing CFP certification education coursework, with a focus on comprehensive financial planning.
Overview
1
1
Certification
6
6
years of professional experience
Work History
Financial Planner
EY
San Diego, CA
10.2026 - Current
- Conducted individualized retirement planning consultations to align clients' retirement options with their financial goals.
- Reviewed financial projections and clarified potential retirement outcomes and long-term financial implications for informed client decision-making.
- Evaluated quantitative and qualitative factors, including projected benefits and risk tolerance, to tailor retirement strategies to client preferences.
- Guide clients through retirement plan decisions by explaining financial tradeoffs and connecting projected outcomes to their goals and preferences
Compliance Associate
Purshe Kaplan Sterling Investments
Albany, NY
10.2023 - 11.2025
- Reviewed advisor marketing materials and client communications to ensure compliance with FINRA and SEC rules, including FINRA Rule 2210 and SEC Marketing Rule.
- Conducted due diligence reviews for private placements, direct participation programs (DPPs), mutual funds, and other investment products to assess compliance risk.
- Completed 100+ monthly transaction surveillance reviews of equity trading activity and low-priced securities to flag potential compliance concerns.
- Supported advisor onboarding and compliance processes, including Form U4 filings, branch examinations, and development of written supervisory procedures.
Operations Analyst
Goldman Sachs Ayco
Albany, NY
11.2020 - 10.2023
- Facilitated wealth management client onboarding and account maintenance, enabling over 500 annual account approvals.
- Analyzed account applications, legal documents, and entity documentation for individual, trust, and partnership accounts to ensure compliance.
- Evaluated client investment objectives and risk tolerance against account information to support suitability and onboarding requirements.
- Collaborated with financial advisors and internal teams to address documentation discrepancies and expedite time-sensitive account requests.
Education
Bachelor of Science - Business Administration
Russell Sage College
Albany, NYSkills
- Retirement Planning and Financial Education
- Retirement Plan Analysis
- Investment Suitability Review
- Investment Product Due Diligence
- SEC & FINRA Regulatory Compliance
- Transaction Surveillance & Exception Monitoring
- Advisor Support & Onboarding
- Client Communication & Relationship Support
- Microsoft Excel
Certification
- FINRA Series 7
- FINRA Series 66
Timeline
Financial Planner
EY
10.2026 - Current
Compliance Associate
Purshe Kaplan Sterling Investments
10.2023 - 11.2025
Operations Analyst
Goldman Sachs Ayco
11.2020 - 10.2023
Bachelor of Science - Business Administration
Russell Sage College