Curriculum vitae
I am a lifelong learner with a background in financial services, devoted to contributing to society through scholarship.
EDUCATION
University of Glasgow, Adam Smith Business School, Glasgow, Scotland, UK
Ph.D. (management) (10/26/2017 to 11/29/2023)
Ph.D. (management) (10/26/2017 to 11/29/2023)
University of Leeds, Leeds, UK
Master of Arts, Applied and Professional Ethics (9/19/2012 to 10/31/2014)
Master of Arts, Applied and Professional Ethics (9/19/2012 to 10/31/2014)
Mercer University, Atlanta, Georgia (6/26/2009 to 12/18/2010)
Bachelor of Science in Applied Organization Leadership. Degree awarded December 18, 2010.
AWARDS
Society for Business Ethics (2018): Founders Award for promising emerging scholars.
Institute for Business Ethics (2014): Does the Fact the Financial Sector is Heavily Regulated Leave Any Place for Ethics? This essay won first place in the national contest (UK) sponsored by the Institute for Business Ethics.
ACADEMIC CONFERENCES
Association for Practical and Professional Ethics:
Guest speaker: Annual International Conference, Washington, D.C., 2016.: Financial Advisers and the Fiduciary Duty Debate
Association for Practical and Professional Ethics:
Conference paper presenter: Annual International Conference, Dallas, Texas 2017: Is Confidentiality as Advocated in Professional Codes a Myth?
Society for Business Ethics:
Conference paper presenter: Annual International Conference, Chicago, IL 2018: Experiences of an Investment Adviser and How a Compensation Plan Met Moral Philosophy.
Philosophy of Management:
Conference paper presenter. August 2022, Oxford, UK. A mixed-methods exploration of institutional logics & self-determination theory within a financial advisory firm: implications for advisor ethics.
PROFESSIONAL EXPERIENCE
AWARDS
Society for Business Ethics (2018): Founders Award for promising emerging scholars.
Institute for Business Ethics (2014): Does the Fact the Financial Sector is Heavily Regulated Leave Any Place for Ethics? This essay won first place in the national contest (UK) sponsored by the Institute for Business Ethics.
ACADEMIC CONFERENCES
Association for Practical and Professional Ethics:
Guest speaker: Annual International Conference, Washington, D.C., 2016.: Financial Advisers and the Fiduciary Duty Debate
Association for Practical and Professional Ethics:
Conference paper presenter: Annual International Conference, Dallas, Texas 2017: Is Confidentiality as Advocated in Professional Codes a Myth?
Society for Business Ethics:
Conference paper presenter: Annual International Conference, Chicago, IL 2018: Experiences of an Investment Adviser and How a Compensation Plan Met Moral Philosophy.
Philosophy of Management:
Conference paper presenter. August 2022, Oxford, UK. A mixed-methods exploration of institutional logics & self-determination theory within a financial advisory firm: implications for advisor ethics.
PROFESSIONAL EXPERIENCE
Charles Schwab & Co., Inc. 1991 - 2022*
Career sequence while at Charles Schwab (from most recent position):
Wealth Advisor – Indianapolis, IN (2011 –Dec. 31, 2022 )
Certified Financial Planner™ to 190+ affluent families with an average portfolio size of $2M. Responsible for business development, financial planning, portfolio allocation, and client investment performance utilizing sophisticated research and analytical tools.
Branch Manager - Atlanta, GA (1995 – 2010)
Leader of a large Charles Schwab branch office. Assets under management $3B~, annual revenue 14.3M~. Responsible for sales, regulatory compliance, supervision, and staff development. Received national recognition on several occasions. Interviewed by local media during turbulent market conditions.
Branch Manager - Plantation, FL (1993 – 1995)
Leader of a small full-service Schwab branch. Hired and trained a new team, and after only six months, qualified for the Chairman’s Club, earning national recognition.
Regional Branch Investment Specialist – South Florida Region (1992 – 1993) Developed new business for a 15-branch region in south and central Florida. One of only 13 individuals in the company permitted at that time to provide specific investment advice to clients. Presented investment workshops for groups ranging from 10 to 100. Guest on local television talk show representing Schwab; Represented the firm in a feature article in Palm Beach Magazine and a number of news interviews with local television reporters.
Branch Business Developer - Miami, FL (1991 – 1992)
Followed-up on business leads and provided sales training for fellow branch representatives. Presented investment workshops for clients on a variety of subjects. Met with high-value clients to retain and aggregate new business. One of only ten individuals in the company selected for this role.
Registered Representative - Miami, FL (1991 – 1991)
Entry-level position. Answered incoming calls; provided stock quotes; placed trades accurately and timely; read news items relevant to clients’ portfolio holdings; assisted new clients with account opening paperwork, followed-up on business development opportunities.
Career sequence while at Charles Schwab (from most recent position):
Wealth Advisor – Indianapolis, IN (2011 –Dec. 31, 2022 )
Certified Financial Planner™ to 190+ affluent families with an average portfolio size of $2M. Responsible for business development, financial planning, portfolio allocation, and client investment performance utilizing sophisticated research and analytical tools.
Branch Manager - Atlanta, GA (1995 – 2010)
Leader of a large Charles Schwab branch office. Assets under management $3B~, annual revenue 14.3M~. Responsible for sales, regulatory compliance, supervision, and staff development. Received national recognition on several occasions. Interviewed by local media during turbulent market conditions.
Branch Manager - Plantation, FL (1993 – 1995)
Leader of a small full-service Schwab branch. Hired and trained a new team, and after only six months, qualified for the Chairman’s Club, earning national recognition.
Regional Branch Investment Specialist – South Florida Region (1992 – 1993) Developed new business for a 15-branch region in south and central Florida. One of only 13 individuals in the company permitted at that time to provide specific investment advice to clients. Presented investment workshops for groups ranging from 10 to 100. Guest on local television talk show representing Schwab; Represented the firm in a feature article in Palm Beach Magazine and a number of news interviews with local television reporters.
Branch Business Developer - Miami, FL (1991 – 1992)
Followed-up on business leads and provided sales training for fellow branch representatives. Presented investment workshops for clients on a variety of subjects. Met with high-value clients to retain and aggregate new business. One of only ten individuals in the company selected for this role.
Registered Representative - Miami, FL (1991 – 1991)
Entry-level position. Answered incoming calls; provided stock quotes; placed trades accurately and timely; read news items relevant to clients’ portfolio holdings; assisted new clients with account opening paperwork, followed-up on business development opportunities.