Michael Caulfield is a eficient expert, working in TD Ameritrade as a Annuties Divisional Operations Manager since 2012. Michael gained professional experience in more than ten positions at various companies. Michael Caulfield went to the Rockhurst University and got education there from 1993 to 1997. Dallas, Texas is the area, where this professional was known to live. Michael Caulfield's email address and number can be accessed through this website on demand.
Name variants:
Mikael Caulfield,
Mychael Caulfield,
Mike Caulfield,
Mikey Caulfield,
Mick Caulfield,
Mickey Caulfield,
Micky Caulfield,
Michl Caulfield,
Mischa Caulfield
Last updated Jun 07, 2024
Contact Information
Workplace
Annuties Divisional Operations Manager
Omaha, NE
Industry
Financial Services, Finance and Insurance, Security, Commodity Contracts and Similar Activity, Security and Commodity Contracts Intermed and Brokerage, 526, Financial Service
Colleagues
Work History
Annuties Divisional Operations Manager
Oversight of day-to-day supervision processes for the Annuity Sales Team, providing production risk management, regulatory and compliance oversight.
from Jan 2012
Supervisory Principal
Dallas/Fort Worth Area
Compliance Registered Principal for advisors who sell primarily to institutional clients. Duties mainly involved monitoring the sale of securities products within corporate and bank-owned l...
Jul 2010 — Jan 2012
Adjunct Professor - Business School
Taught managerial economics and a critical thinking class in the School of Business part-time, evenings.
2006 — 2008
Senior Analyst
- Handled OSJ Managerial reviews of all direct business, trade blotter items, advertising, outside business activities and outside brokerage accounts.
- Served as a liaison between the finan...
Jul 2005 — Jun 2006
Research Analyst
Quantitatively and qualitatively analyzes leasing information, square footage financial news and statistics in order to predict and verify commercial real estate tenant movement throughout t...
Feb 2004 — Jul 2005
Singles Ministry Facilitator
Discussion moderator/facilitator and subject matter expert regarding Christian theology and the human condition.
2004 — 2006
Participant Services Specialist
Assigned to an elite team that handled our Total Retirement Solutions clients such as Conoco Phillips, JPMorgan Chase, Collins & Aikman and International Paper. Problem-solved and execut...
Feb 2001 — Aug 2003
Account Executive
Cold-calling, appointment setting, sales presentations, financial analyses, and financial advice. Conducted investment seminars.
Mar 2000 — Feb 2001
Brokerage Operations Specialist
Part of an elite team that handled our top clients' mutual fund trades. Implemented back-office broker-dealer mutual fund transactions, handled problems and complaints. Clients: Merrill Ly...
Oct 1992 — Feb 1996
Education
1993 — 1997
Sep 1983 — May 1988
Occupations
Executive
Operations Manager
Director of Operations
Accountant
Finance and Accounting Specialist
Professor
School Principal
Accounting Bookkeeper
Bookkeeper
School Administrator
Educational Manager
Skills
Alternative Investments
Writing
Financial Advisory
Fixed Annuities
Adobe Acrobat
Nasd
Small Office
Insurance
Leases
Trend Analysis
Regulatory Affairs
Finance
401K
Roth Ira
Asset Managment
Investigative Research
Mainframe
Uniform Combined State Law
Tenant
Strategic Financial Planning
Violations
Quality Auditing
Legal
Bear
Littleton
Third Party
Conclusions
Online Research
Kansas City
Uniform Combined State
Merrill Lynch
Management
Desktop Computers
People Skills
American Express
Statistics
Organizational
Investment Management
Transactional
Resolve
Fundserv
Series 63
Powerpoint
Monitors
Technology
Business Lines
Axys
Accounting
Approvals
Selling Skills
Bonds
Commercial Space
Retirement Planning
Portfolio Management
Capital Markets
Costar
Sage Act
Asset Allocation
Investment Advisory
Organizational Effectiveness
Supervision
Life Insurance
Finra
Microsoft Excel
Risk Management
Denver
Wordperfect
Asset Management
Training
Supervisory
Customer Service
Silver
Shareholder
American
Research
Capital
Investigation
Phillips
Options
Surveillance
Analysis
Written
Concrete
Kansas
Financial Advising
Fixed Income
C
Retail
Advent
Business Acumen
Conventions
Financial Risk
New Clients
Series 6
Advertising
Operations
Time Management
Project Planning
Series 24
Expires
Etfs
Sec Regulations
Strategic Financial
Legal Affairs
Brokers
Lotus 123
Linkedin
Computer Proficiency
Responsibility
Internal Audit
Cco
Regulations
Financial Planners
Obtain
Pagemaker
Investment Education
Executive Management
Estimate
Lotus Notes
Teaching
Reviews
Checklists
Investments
Variable Annuities
San Diego
Financial Services
Compliance
Equities
Mutual Funds
Outlook
Wealth Management
Microsoft Word
Investment Strategies
Asset
Financial Analysis
Journalism
Technological Acumen
Back Office
Financial Transactions
Trading
Abstraction
Retirement
Automatic
Cics
Series 65
Series 7
Securities
Coordinate
Dealers
Branch supervision
compliance
financial advisor
retirement plans
annuities
insurance products and alternate investments. Experience with compliance-related issues such as advertising
outside business activities
trade blotters
etc.
People skills
computer skills
organizational skills
time-management
innovative thinking
deadline-oriented
sales skills
management experience.