Resumes
Resumes
![Mark Swoger Photo 1 Mark Swoger Photo 1](/img/not-found.png)
Senior Trade Specialist At Sagepoint Financial
View pagePosition:
Senior Trade Specialist / Registered Principal at Sagepoint Financial
Location:
Phoenix, Arizona Area
Industry:
Financial Services
Work:
Sagepoint Financial since Dec 2009
Senior Trade Specialist / Registered Principal
Charles Schwab Jan 2008 - Apr 2009
Senior Brokerage Specialist - Stock Plan Services
Charles Schwab Sep 2006 - Dec 2007
New Client Concierge
Charles Schwab Apr 2005 - Aug 2006
Senior Brokerage Operations Specialist - Schwab Institutional Management
Charles Schwab Mar 2003 - Mar 2005
Senior Brokerage Specialist - Trust and Estate Services
Senior Trade Specialist / Registered Principal
Charles Schwab Jan 2008 - Apr 2009
Senior Brokerage Specialist - Stock Plan Services
Charles Schwab Sep 2006 - Dec 2007
New Client Concierge
Charles Schwab Apr 2005 - Aug 2006
Senior Brokerage Operations Specialist - Schwab Institutional Management
Charles Schwab Mar 2003 - Mar 2005
Senior Brokerage Specialist - Trust and Estate Services
Education:
University of Arizona 1981 - 1985
Bachelor of Science, Finance Major
Bachelor of Science, Finance Major
Skills:
Investments
Fixed Income
Mutual Funds
Options
Bonds
Trading
Series 7
Fixed Income
Mutual Funds
Options
Bonds
Trading
Series 7
Honor & Awards:
Charles Schwab Individual Excellence in Service Award.
Charles Schwab Chairman's Club Award.
![Mark Swoger Photo 2 Mark Swoger Photo 2](/img/not-found.png)
Former Field Supervisor
View pageLocation:
2800 north Central Ave, Phoenix, AZ 85004
Industry:
Financial Services
Work:
Sagepoint Financial Jun 2015 - Oct 2017
Regional Supervision Manager
Sagepoint Financial Aug 1, 2012 - May 2015
Regional Supervision Analyst
Sagepoint Financial Dec 2009 - Aug 2012
Senior Trade Specialist and Registered Principal
Charles Schwab Jan 2008 - Apr 2009
Senior Brokerage Specialist - Stock Plan Services
Charles Schwab Sep 2006 - Dec 2007
New Client Concierge
Regional Supervision Manager
Sagepoint Financial Aug 1, 2012 - May 2015
Regional Supervision Analyst
Sagepoint Financial Dec 2009 - Aug 2012
Senior Trade Specialist and Registered Principal
Charles Schwab Jan 2008 - Apr 2009
Senior Brokerage Specialist - Stock Plan Services
Charles Schwab Sep 2006 - Dec 2007
New Client Concierge
Education:
University of Arizona 1981 - 1985
Bachelors, Bachelor of Science, Business Administration, Management, Real Estate, Finance, Business Administration and Management
Bachelors, Bachelor of Science, Business Administration, Management, Real Estate, Finance, Business Administration and Management
Skills:
Investments
Fixed Income
Mutual Funds
Options
Bonds
Trading
Series 7
Securities
Financial Services
Series 63
Risk Management
Retirement Planning
Finra
Alternative Investments
Asset Allocation
Uniform Combined State Law
Financial Advisory
Series 24
Series 66
Fixed Income
Mutual Funds
Options
Bonds
Trading
Series 7
Securities
Financial Services
Series 63
Risk Management
Retirement Planning
Finra
Alternative Investments
Asset Allocation
Uniform Combined State Law
Financial Advisory
Series 24
Series 66
Certifications:
Registered Principal