James T. Sinyard, CFP
James T. Sinyard, CFP
10235 North 99th Street
Scottsdale AZ, 85258
Over 20 years in financial services with an emphasis on Broker/Dealer sales force recruitment and management. Extensive deposition experience.
BIO / Resume / CV:
Summary of Qualifications Over 20 years in financial services with an emphasis on Broker/Dealer sales force recruitment and management. Extensive deposition experience. I am both a Certified Financial Planner and a NASD Industry Arbitrator. I have reviewed literally thousands of credentials and disciplinary histories of NASD Registered Representatives seeking broker/dealer affiliation. My Industry licenses, experience, training given and received qualify me to give expert opinions on the disputes and instruments listed below. Licenses NASD Series 7,6,22,63,65,24, Insurance, Variable Annuities Expertise and Experience Fraudulent Activity Breach of Fiduciary Duty Misrepresentations/Non-Disclosures Unauthorized Trading Churning and Omission of Facts Suitability Employment Breach of Contract Discrimination Harassment Commissions Termination Training Contracts U-5 Slander Compensation Promissory Notes Wrongful Termination Other Raiding Disputes Securities, Financial Instruments and Investments Annuities Corporate Bonds Mutual Funds Options REITs Common Stock Government Securities Municipal Bonds Limited Partnerships Professional Memberships IAFP/Certified Financial Planner NASD/Industry Arbitrator NAPC/Certified Personnel Consultant (Inactive) Education Georgia Tech/Mechanical Engineering Alexander Hamilton Institute/Modern Business Dale Carnegie Courses/Management, Leadership, Sales Numerous Professional and Continuing Education Courses Recent Employment 1990-Present SunAmerica Securities Phoenix, AZ Vice President/Field Development Managed the department that aggressively located, qualified, and contracted appropriate securities/ insurance/ investment advisory sales people for the Broker/ Dealer. Reviewed/ evaluated disciplinary and production histories. Confirmed proper licenses. Rejected unsuitable candidates. Presented evaluated prospective candidates to executive review process. More than doubled sales force size. Previous pertinent experience with SAS and other organizations includes organizing and managing compliance and investment advisory functions for a startup financial planning firm, building a record sized sales force for a leading financial planning firm, owning a professional recruiting company.
Employment Arbitrator Arbitration Recruiting Training Planning Organization Bme Cfo Nasd Securities 7 24 65