John Griz
Simpsonville,SC
Summary
MBA graduate with over 21 years experience in the financial industry. Proven track record as a manager with strong client management skills, ability to present to diverse audiences, identify and target new prospects and build strong relationships with internal and external partners. Extensive analytical skills in developing detailed, interactive financial planning tools focusing on investment, retirement, estate planning and asset allocation models. Conducted over 150 independent field inspections / audits for existing representatives. Aided new business development in acquiring proven industry representatives thru target marketing.
Overview
1824
1824
years of professional experience
Work History
Registered Financial Representative
Centarus Financial
01.2017 - Current
- Worked closely with clients to determine goals and recommend appropriate services to maintain long-term relationships with account holders.
- Received customer applications and followed up with clients to obtain missing information before submission.
- Met with customers to assess needs, financial status and eligibility.
- Worked with clients with life, long-term care or disability insurance accounts to increase profitability and account longevity.
Senior Financial Advisor
Cambridge Investment Research
01.201 - 01.201
Senior Financial Advisor
Waddell and Reed Corporation
Regional Compliance Manager
Investors Capital Corporation
Managing Principal
Investors Capital Corporation
Senior Financial Consultant
Smith Barney, Inc.
Senior Relationship Manager
Prudential Securities
Financial Consultant
Merrill Lynch
President and Owner
Griz and Griz Company
Education
MBA - Financial Management
Mercer University
Macon, GA01.1991
BA - Economics
University of Georgia
Athens, GA01.1989
Skills
- FINRA Series 7, 9, 10, 22, 24, 63 and 65 LA&H Insurance Licenses
Accomplishments
Consistently Supervised and Advised Independent Representatives. Reduced Regulatory Risk by Educating Representatives as to firm policies and procedures and Finra Requirements. Monitored weekly Representative/ OSJ sales blotters, advisor email, correspondence, and annual field inspect/audit 50% of Representatives thru out territory each year. Also, worked with various departments trading, operations, licensing, to Resolve any and all issues. Approve all new business and client updates for over 500 million dollars of firm held directly thru Pershing and approximately 300 million of direct assets with Mutual Fund and Annuity Providers. Decreased Regulatory inquiries firm wide by over 1million dollars by assisting Representatives in business planning and heightened supervision.
Phone
843-422-2005, 864-534-1131
Achievements Dates
- 2012-present
- 2010-2012
- 2007-2010
- 2001-2010
- 1999-2001
- 1994-1999
- 1993-1994
- 1988-1995
Additional Qualifications
Market Commentator: 5-minute radio update aired daily on 6 area stations and monthly call-in television show. Attended various industry symposiums on various financial products from REIT's, Oil and Gas Drilling, Land Banking, Annuities assisted management and risk committee in determining vendors to include in firm platform.
Timeline
Registered Financial Representative
Centarus Financial
01.2017 - Current
Senior Financial Advisor
Waddell and Reed Corporation
Regional Compliance Manager
Investors Capital Corporation
Managing Principal
Investors Capital Corporation
Senior Financial Consultant
Smith Barney, Inc.
Senior Relationship Manager
Prudential Securities
Financial Consultant
Merrill Lynch
President and Owner
Griz and Griz Company
MBA - Financial Management
Mercer University
BA - Economics
University of Georgia
Senior Financial Advisor
Cambridge Investment Research
01.201 - 01.201
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