Brett Roth

Experience

• 

  Fidelity Investments

  Jan 1991 - Jan 2016

  Manage and lead a team of sales and client relationship management associates responsible for acquisition, retention and development of Fidelity's managed assets account program Portfolio Advisory Services (PAS). Moved to Westlake, Texas as the sales group expanded to another team.Developed and administer compensation plans for each associate role.In 2008, formed and led a newly expanded team to the Covington, Kentucky phone site campus; I relocated back to Ohio at this time. Appointment Branch Office Manager (BOM) for the building; responsibilities included enforcement of risk management and compliance policies and procedures.In 2009 won the President's Circle award for top sales management leaders in the company. Show less

  • Regional Sales Director

    Jan 2013 - Jan 2016

  • Sales Manager - 401k Relationship Management

    Jan 2012 - Jan 2013

  • Sales and Client Relationship Manager - Managed Accounts

    Jan 2006 - Jan 2012

  • Sales Manager - Financial Planning Consultants

    Jan 2005 - Jan 2006

  • Manager - Project and Market Testing

    Jan 2002 - Jan 2005

  • Manager- Asset Retention

    Jan 1999 - Jan 2005

  • Financial Sales Representative

    Jan 1991 - Jan 1999
• 

  W&S Financial Group Distributors

  Jan 2016 - May 2022

  Sr. Securities Wholesaler

  Promoted the sale of investment products through the Western & Southern Agency Field Financial Representatives and Managers. Educated, trained and prepared individuals to attain their securities registrations and became proficient in the knowledge and sales of investment products. Also supported the field representatives in joint sales activities and worked within the business unit to assist in the creation and distribution of marketing materials and activities.

• 

  DLAK Wealth Advisors

  May 2022 - now

  VP Private Wealth Manager

  Helping clients personalize a plan to achieve their financial goals. Discussion points include, investment advising, debt management, budget assistance, college savings preparation, retirement planning, estate planning, long-term healthcare and insurance assistance, and tax planning.