Lisa A. Broome, CFP®

Experience

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  Valley Forge Asset Management

  Jan 1996 - Jan 2000

  Portfolio Manager
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  Nye, Parnell & Emerson

  Jun 2000 - Apr 2002

  Portfolio Manager
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  Lincoln Financial Advisors

  Mar 2002 - Apr 2004

  Director of Investments
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  Penn Mutual Life Insurance

  Apr 2004 - Jan 2007

  Portfolio Manager

  -Served as the lead portfolio manager for the $2 billion corporate bond allocation of the firm’s general account.-Served as the lead portfolio manager for Penn Mutual’s money market variable sub-accounts.Additional titles held: Director, Horner Townsend & Kent RIA; Manager, Penn Mutual Field Training

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  Sage Financial Group

  Jan 2007 - Apr 2009

  Investment Specialist

  - Managed and maintained the Advent Axys portfolio accounting system.- Re-designed and managed the client billing function. Through systematization and process improvements the firm realized a significant boost in revenue as clients were converted to a consistent, AUM-based, calendar-quarter fee schedule. - Served as the primary compliance liaison and the point person for an SEC audit.- Developed monthly client commentary letters.

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  United Capital Financial Partners, Inc

  Jan 2010 - Nov 2012

  Director of Investment Operations, Relationship Manager

  - Served as the primary portfolio manager for 175 investment advisory clients with approximately $220 million in combined assets under management.- Developed and executed the trade and rebalancing process with the firm realizing significant improvements in accuracy and efficiency, virtually eliminating trade errors and improving processing speed by 10-fold.- Provided client management support through written communications (quarterly commentaries, ad-hoc newsletters, etc.) and personal interactions, particularly in times of market turmoil and for more analytically-minded clients. Show less

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  Costello Asset Management

  Feb 2013 - May 2014

  Investment Manager

  - Performed portfolio management and monitoring services for the firm’s clients invested in individual equity and fixed income securities.- Served as the primary institutional trader maintaining relationships with the trade desks at Charles Schwab and TD Ameritrade, often trading block positions and working limit orders for low-volume securities.- Conducted due diligence and investment research on existing and potential buy-list securities.- Supervised the portfolio accounting and reporting processes. Show less

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  GoalQueste

  Jun 2014 - now

  Director of Investments

  • Financial organization• Goal setting• Collaborative investment management• Ongoing and continuous financial advice