Summary
Overview
Work History
Education
Skills
Finra Licensing
Timeline
Generic

RONALD COULSON

Overland Park,KS

Summary

Experienced professional with 28 years of supervision and quality experience offering a performance-oriented nature and strong history of accomplishment in fast paced stressful environments. Skillfully train and mentor team members to optimize performance and improve quality. Combines cross-functional competencies in operations planning, customer retention and supervision of financial advisors to develop and coach staff while interfacing with executives. Expert in boosting revenue, quality and performance. Successful in executing standard operating procedures to positively impact organizational goals.

Overview

28
28
years of professional experience

Work History

Associate Director of Network Supervision

Northwestern Mutual
Leawood, KS
01.2024 - Current
  • Ensured appropriate handling of investment product transactions and maintained accurate records, while adhering to compliance regulations. Provided expert guidance and training.
  • Supervised and monitored sales practices via supervisory systems, financial representative reviews, and client calls.
  • Signed off as a registered principal for securities transactions
  • Developed and implemented effective strategies, procedures, and action plans to optimize compliance and supervision within the network office.
  • Managed and Supervised Operations which included monitoring data administration, service support for investment operations, check deposits and shared logs as well as handling account transfers and trade corrections.
  • Served as the main point of contact for financial representatives, addressing their questions and issues in various subject matter areas.

Supervision Analyst

Corebridge Financial
Overland Park, KS
02.2023 - 12.2023
  • Reviewed advisor trading and recommendation patterns for possible regulatory and procedure violations
  • Responded promptly to reported violations and inquiries from back office and branch partners
  • Reviewed Advisor's violation history in order to determine disciplinary actions following identification or reporting of violations
  • Drafted corrective plans and prepared disciplinary letters to mitigate regulatory risk in business activities
  • Streamlined processes for logging and saving data related to disciplinary violations

Executive Office Case Specialist

Randstad Contractor – Wells Fargo Advisors
St. Louis, MO
02.2021 - 01.2023
  • Analyzed, researched, and resolved over 700 moderately complex escalated complaints
  • Drafted client letters to address and resolve complaints
  • Assisted in the preparation of new complaint cases received by the company's EO Case Intake team.

New Client Development Specialist

TD Ameritrade
St. Louis, MO
08.2020 - 02.2021
  • Provided guidance to new clients and prospects on opening and developing new accounts
  • Generated sales and business leads and led the department in online platform training referrals, resulting in significant cost savings by minimizing inexperienced callers
  • Delivered exceptional customer service to clients by executing trades, preempting and addressing client needs, and resolving issues effectively

Financial Services Representative

TD Ameritrade
St. Louis, MO
02.2019 - 08.2020
  • Provided excellent customer service to approximately 60 inbound callers daily
  • Placed trades at client request including options, mutual funds listed and OTC securities
  • Trained in trading, banking services and online chat support.

Pastoral Ministry

Various Chinese and American Churches
12.2003 - 06.2018
  • Provided leadership, guidance and training to teachers and leaders within the organization
  • Developed the strategic plan and set the direction for developing the organization
  • Recruited, mentored and counselled organization personnel, leaders and members
  • Provided the purpose statement, strategic plan and direction for developing the whole organization
  • Provided mentorship for leadership skills and provided life skills for living in the United States

Business Owner/Operator/Founder

Big 12 Lawns and Landscaping
Norman, OK
03.1996 - 12.2003
  • Serviced more than 120 commercial and residential properties on a weekly basis
  • Performed contract writing, management, hiring, training, quality control supervision, sales, customer service, scheduling and administration, financial management, budgeting, billing, and advertising
  • Sold business for profit in 2003

Education

Master of Divinity -

Midwestern Baptist Theological Seminary
Kansas City, MO
01.2013

Bachelor of Arts - English Literature

Oklahoma University
01.1999

Skills

  • Communication
  • Competency
  • Leadership
  • Problem Solving
  • Project Management
  • Research
  • Strategic Planning and Prioritization
  • Program Development
  • Analytical and Critical Thinking
  • Process Improvement
  • Coaching and Mentoring
  • Public Speaking
  • Hiring, Training and Mentoring
  • Critical Thinking
  • Organizational Development
  • Event Planning

Finra Licensing

  • Series 24, General Securities Principal, 12/01/23
  • Series 7TO, General Securities Representative, 06/01/19
  • Series 63, Uniform Securities Agent, 06/01/19
  • Series 66, Uniform Combined State Law Examination, 06/01/23
  • Securities Industry Essentials Exam (CRD#: 7075226), 04/01/19
  • Kansas Life and Health Insurance, 02/01/24

Timeline

Associate Director of Network Supervision

Northwestern Mutual
01.2024 - Current

Supervision Analyst

Corebridge Financial
02.2023 - 12.2023

Executive Office Case Specialist

Randstad Contractor – Wells Fargo Advisors
02.2021 - 01.2023

New Client Development Specialist

TD Ameritrade
08.2020 - 02.2021

Financial Services Representative

TD Ameritrade
02.2019 - 08.2020

Pastoral Ministry

Various Chinese and American Churches
12.2003 - 06.2018

Business Owner/Operator/Founder

Big 12 Lawns and Landscaping
03.1996 - 12.2003

Master of Divinity -

Midwestern Baptist Theological Seminary

Bachelor of Arts - English Literature

Oklahoma University
RONALD COULSON