• Mantra and Core Values
  • From the Chairman
  • The Team
  • Social Responsibility
  • News
  • Careers

Mantra and Core Values

Our Mantra

American Portfolios must seek out the best business solutions, support and services that its financial professionals require to achieve financial freedom for their clients.

Nurture

American Portfolios’ first responsibility is to its valued employees, the men and women working for us, who provide the highest level of service to our customers—our affiliated financial professionals. American Portfolios is committed to providing a clean, safe, and orderly workplace where employees are treated with respect and dignity, and are recognized for the unique and special qualities they bring to their jobs. American Portfolios encourages equal opportunities in employment, development, and advancement. Employees should feel secure in their positions, know they will be compensated fairly and adequately, and feel free to offer suggestions or bring forth concerns.


Launch

Providing optimal service and support to the financial service professionals, their staff, and their clients as well as all others who use our services is one of American Portfolios’ core responsibilities. We must strive to meet our customers’ needs with the highest level of quality and dedicate ourselves to setting the standard of service excellence for our industry.


Give

Fostering positive social and environmental change in the communities where we live and work as well as in the global community is paramount. We must be responsible citizens through our support of good works, honest charities, civic improvements, better health, and education. We must maintain in good order the property we are privileged to use by protecting the environment and its natural resources.


Aim

Shareholder value, our commitment to stockholders, is our final responsibility. Business must make a sound profit. Therefore, we must strive to achieve a balance among the fiscal, social, and environmental responsibilities of our firm, experiment with new ideas and develop new technologies in our efforts to stay ahead of the competition, and create reserves to prepare for adversity. It is our belief that when we operate according to these principles, shareholders will realize a fair return.


From the Chairman

From the Chairman

I thank you for the opportunity to introduce our company to you.

A Message from Lon T. Dolber

American Portfolios was conceived by a group of like minded, independent financial service professionals, committed to serving their clients by offering sound financial guidance or planning along with solid investment advice. The firm is owned and operated by individuals who have all worked with clients of their own. I started in the financial services field in 1978 when I was brought into the business by my father Hy Dolber.

As professionals, we will not tolerate or recognize any obligation to market the services or investment products produced by any single company. We understand what it means to seek out and to offer only the best products or services available, without conflict or compromise and this is the same commitment we make to our representatives.

The financial services industry is dynamic and evolving. Barriers have fallen and investors face an almost unlimited and often confusing variety of financial products and investment choices. We believe that financial professionals must have access to a diverse selection of unbiased and high quality investment products and services in order to best meet their client’s objectives.

I thank you for the opportunity to introduce our company to you. We are proud of what has been accomplished thus far and hope that our vision someday may be of benefit to you.

-Lon T. Dolber


The Team

The Team

We believe that the success of a company is made possible through the hard earned efforts of its people. By Bringing together the most expert and imaginative people in a culture that embraces technology and the courage to think independently, we create true value in our services, our recommended portfolios and our company.

Core Team

Lon T. Dolber

CEO and President, American Portfolios Holdings, INC (APH) President, American Portfolios Financial Services, Inc. (APFS)

Timothy O'Grady

President of Sales and New Business Development, APFS

631.439.4600, ext. 285

Lisa DiBella

Vice President of Human Resources, APH

631.439.4600, ext. 280

Dean Bruno

Chief Operating Officer, APFS

Robert M. Dolber

Chief Technology Officer, APFS

Gary Gordon

President of American Portfolios Advisors, Inc., APA

Damon B. Joyner

Chief Financial Officer, APH

Dalchand Laljit

Executive Vice President of Business Process and Organizational Development, APH

Frank A. Tauches, Jr.

Executive Vice President, General Counsel and Chief Risk Officer, APH

James D. Goedtke

Senior Vice President, Due Diligence Analyst and Product Manager, APFS

Thomas J. LoManto

Senior Vice President and Chief Advisory Compliance Officer, APA

Anne Antunovich

Vice President of Finance and Accounting, APH

Kimberly A. Branch, CFP, CLTC

Vice President of Marketing Strategy, APFS

Philip Bredow

Vice President of Operations, APFS

Andrew Dorfman

Vice President of Platform Development, APH

Melissa Grappone

Vice President of Marketing and Corporate Communications, APH

Jeffrey Kahn

Vice President of Surveillance, APFS

Martin Wendel

Vice President and Chief Compliance Officer, APFS

Maria Zarb

Vice President of Business Services, APFS

American Portfolios Holdings, Inc. (APH) Board Members

Lon T. Dolber

Chief Executive Office, President and Chairman of the Board

Mark A. Manzi, CPA, CFF, CR.FA

Chief Financial Officer, Director

Edward T. Morrison, CFA

Executive Vice President and Chief Strategy Officer, APH

Frank A. Tauches, Jr., Esq.

Executive Vice President and Chief Strategy Officer, APH

Tom M. Wirtshafter

Senior Vice President, Director

Atindra Barua

President and CEO of TrustFort

APH Advisory Board Members

Arthur Goldberg

Co-Founder of Integrated Resources Inc.

Jay Lewis

Founder of Nathan & Lewis Securities

Norman Malo

Former President and CEO of National Financial Services, LLC

Steven E. Rothstein

Former Executive Vice President and CFO of AIG Advisor Group Inc.

Paul Tyler

Senior Vice President of Strategy and Corporate Development of Fidelity Guarantee Life

Robert J. Moses

Former General Counsel and Senior Vice President of Frist Allied Securities, Inc.

Social Responsibility

Our Promise

We promise to always act with integrity, never sacrificing our advisor's or client's interests for the sake of our own. We hold ourselves responsible not only to our customers, but also to our communities.

Dome Project

The DOME (Developing Opportunities through Meaningful Education) Project provides young people with alternatives to the negative pressures they face in their communities to help them develop a healthy, positive sense of self. American Portfolios champions the Dome Project's world to empower young Americans living under difficult circumstances.


The Leukemia & Lymphoma Society

The Leukemia & Lymphoma Society (LLS) is the world's largest voluntary health organization dedicated to funding research for blood cancer cures, distributing free information and services, and enabling blood cancer patients to live better, longer lives. American Portfolios' support of this organization is rooted in an experience that touched a valued employee, Dean Bruno, diagnosed in May 2013 with Stage 3 Nodular Sclerosis Hodgkin's Lymphoma. Today, he remains cancer-free, thanks to research funding provided by LLS.


Virtual Enterprises International (VEI)

VEI is a non-profit organization that offers in-school experiential learning programs for high school students to form entrepreneurial, start-up businesses within a live global simulated setting. APFS has been a fervent supporter of VEI’s mission to foster future business leaders early in their academic careers. APFS has been involved in the judging and sponsorship of VEI’s local student competitions, providing them with the backdrop of a true corporate experience. AP Also provides mentorship and internship opportunities for the entire VEI network, connecting them to its affiliated financial professionals located in more than 300 branches throughout the nation.


World T.E.A.M. Sports

World T.E.A.M. (The Exceptional Athlete Matters) Sports creates and organizes inclusive athletic events with teams of disabled and able-bodied athletes that challenge them to accomplish goals they never thought possible. American Portfolios is an active supporter of World Team Sports; our employees, affiliated advisors and business partners have been participating in events and raising money for this non-profit organization since 2006.


News

News

Great communication comes from transparency. Get the latest.

2018

American Portfolios Chosen as One of the Best Companies to Work for in New York State for Third Year in a Row

HOLBROOK, N.Y. (Jan. 25, 2018)—For the third consecutive year, American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, has been named one of the Best Companies to Work for in New York State for 2018 by the New York State Society for Human Resources Management (NYS-SHRM) and […]

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2017

American Portfolios CEO Returns Post-Fundraiser to Thame Valley to Witness Rebuilding Efforts After 2015 Nepal Earthquakes

HOLBROOK, N.Y. (Dec. 12, 2017) — Following the earthquakes of April and May 2015, American Portfolios Financial Services, Inc. (AP) CEO Lon T. Dolber pledged to return to Nepal’s Thame Valley to witness first-hand the rebuilding efforts that were made possible thanks, in part, to the privately-held independent broker/dealer’s firm-wide fundraiser. Since 2015, AP has […]

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American Portfolios Officially Launches HomePort, a Proprietary Technology Platform for Financial Advisors, Office Support and End Clients

HOLBROOK, N.Y. (Dec. 5, 2017) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer which provides business solutions and support to financial advisors throughout the country, officially launched its proprietary technology platform, HomePort, which has been designed specifically for its affiliated investment professionals and their clients, as well as the firm’s home office […]

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Cliff T. Walsh, CFA, Joins American Portfolios Financial Services, Inc.

HOLBROOK, N.Y. (Nov. 30, 2017)—Independent broker/dealer American Portfolios Financial Services, Inc. (AP) is pleased to formally announce that Cliff T. Walsh, CFA, has joined the firm in the capacity of vice president of asset management. In his role, Walsh will lead and carry forward the investment direction of AP’s Nine Points Investment Management (NPIM) portfolios and build […]

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American Portfolios Proudly Participates in the World T.E.A.M. Sports Liberty Ride

HOLBROOK, N.Y. (Nov. 28, 2017) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer which provides services and support to financial advisors throughout the United States, continues its long-standing support of World T.E.A.M. Sports (WTS) by raising funds and participating in Face of America (FOA) Liberty, a one-day bicycle and hand-cycle ride to […]

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American Portfolios Financial Services Hosts 16th Annual National Conference at Mohegan Sun

HOLBROOK, N.Y. (Nov. 3, 2017)—Independent broker/dealer American Portfolios Financial Services, Inc. (AP) recently hosted its annual national conference, Connections 2017, at Mohegan Sun in Uncasville, Conn. As a business solutions provider serving approximately 800 affiliated investment professionals throughout the United States,  the three-day event, which began on Oct. 25 and concluded on Oct. 27, provided […]

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American Portfolios Launches its Nine Points Investment Management Web Site

HOLBROOK, N.Y. (Oct. 3, 2017) — American Portfolios Financial Services, Inc. (APFS) has officially launched a public-facing, FINRA-approved Web site introducing Nine Points Investment Management (NPIM) to the financial advisor community, as well as to existing and prospective clients. NPIM is the investment management division of American Portfolios Advisors, Inc. (APA), the firm’s registered investment […]

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American Portfolios Continues its Support of World T.E.A.M. Sports by Participating in 2017’s Adventure Team Challenge, Coastal Team Challenge and Upcoming Liberty Ride on Oct. 8

HOLBROOK, N.Y. (Sept. 28, 2017) — American Portfolios Financial Services, Inc. (APFS) continues its long-standing support of the World T.E.A.M. Sports (WTS) mission through participation in two events this past summer and an upcoming one this fall on Oct. 8. Following the success of the annual Face of America (FOA) bike ride in April 2017, […]

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Damon B. Joyner Joins American Portfolios

HOLBROOK, N.Y. (Sept. 11, 2017) — Damon B. Joyner, financial services executive and business leader, has officially joined American Portfolios Financial Services, Inc.’s (AP) executive management team in the capacity of Chief Financial Officer (CFO). Joyner brings his more than 29 years of financial services industry experience to the privately-held, independent broker-dealer (IBD) that services […]

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American Portfolios Addresses SRI through the Launch of its Nine Points Investment Management Impact Portfolios

HOLBROOK, N.Y., Sept. 07, 2017 (GLOBE NEWSWIRE) — American Portfolios Financial Services, Inc. (AP) has added to its long-standing commitment to corporate social responsibility—including its support of non-profit organizations such as World T.E.A.M. Sports, Virtual Enterprises International and The Dome Project—by launching the Nine Points Investment Management (NPIM) Impact Portfolios. Through Socially Responsible Investing (SRI), […]

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American Portfolios Financial Services, Inc. Named 2017 Broker-Dealer of the Year by Investment Advisor Magazine for the Third Year in a Row

Holbrook, N.Y., Sept. 05, 2017 (GLOBE NEWSWIRE) — American Portfolios Financial Services, Inc. (AP) is proud to announce that it has been named Broker/Dealer of the Year in 2017 by Investment Advisor magazine for the third year in a row. Each year since 1991, Investment Advisor magazine’s editorial staff have invited registered representatives of independent […]

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2016

American Portfolios Deploys Phase Two of E-Sign Functionality Within its Web-Based Business Workflow Process

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American Portfolios Financial Services, Inc. Celebrates 15-Year Anniversary at National Conference, Connections 2016

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American Portfolios Recognizes Top-Earning Investment Professionals at Firm’s 2016 Honors Conference

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American Portfolios Financial Services, Inc. Named 2016 Broker-Dealer of the Year by Investment Advisor Magazine for Two Years Running

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American Portfolios Financial Services Sponsors NYIT School of Management Corporate Challenge 2016

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American Portfolios Supports World T.E.A.M. Sports by Sponsoring and Participating in 2016’s Face of America Bike Ride

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American Portfolios Holdings, Inc. Appoints TrustFort President and CEO Atindra Barua to Its Board of Directors

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American Portfolios Honors Top-Earning Investment Professionals at Firm’s 2016 Leaders Conference

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American Portfolios Ranked No. 1 Best Company to Work for in New York for Small/Mid-Size Companies

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American Portfolios Financial Services CEO Lon T. Dolber to Be Honored at Virtual Enterprises International 20th Annual Gala

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2015

American Portfolios Makes Substantial Strides in 2015 for Advisory Platform and Technology Independence

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American Portfolios Rolls Out E-Sign Functionality to Enhance Its Web-Based Business Workflow Process

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American Portfolios CEO Lon T. Dolber Elected as Vice Chairman of World T.E.A.M. Sports

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American Portfolios Vice President of Marketing Strategy Kimberly A. Branch Aids in Positioning Company for Growth

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American Portfolios Appoints Industry Leaders Paul Tyler and Atindra Barua to the Advisory Council for Its Board of Directors

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American Portfolios Appoints Industry Leaders Paul Tyler and Atindra Barua to the Advisory Council for Its Board of Directors

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American Portfolios Vice President of Service Quality and Process Excellence Dalchand Laljit Aids in Positioning Company for Growth

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American Portfolios Connections 2015 National Conference an Overwhelming Success

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American Portfolios Financial Services Completes Silent Strength Online WWII Video Series Commemorating 70th Anniversaries of D-Day and V-J Day

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American Portfolios Financial Services, Inc. Named 2015 Broker/Dealer of the Year by Investment Advisor Magazine

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2014

American portfolios Financial Services, Inc. is Major Sponsor and Participant in CanAm Veterans Challenge

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American Portfolios Financial Services, Inc. Participating in Annual Face of America Bicycle Ride

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American Portfolios CEO Lon T. Dolber Attends Client Appreciation Event for Top Producer Theresa Hannon Honoring 30 Years in Financial Services

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American Portfolios Financial Services Supports Non-Profit Organization Virtual Enterprises International and the Next Generation of Big Thinkers

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American Portfolios CEO Lon T. Dolber Honored at the Thirteenth Annual David Awards

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2013

American Portfolios Selects Global Relay for Compliant Message Archiving and Supervision Solution

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American Portfolios Announces Promotions for Several Staff Members

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American Portfolios Implements Broadridge’s Forefield Suite of Education and Communication Tools for Advisors and Shareholders

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American Portfolios Financial Services Appoints Industry Leader Steven E. Rothstein to the Advisory Council for its Board of Directors

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2012

American Portfolios Earns Distinction as One of America’s Fastest-Growing Private Companies

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American Portfolios CEO Lon T. Dolber Participates in Leg of World Team Sports 2012 Sea to Shining Sea Cross-Country Bike Ride

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American Portfolios is Major Sponsor and Participant in 2012 Sea to Shining Sea Cross-Country Bicycle Ride

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2011

APFS Pays Tribute to September 11, 2011

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American Portfolios Financial Services Rolls Out Social Media Program

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Affiliated Colleage Andrew Friedman Awarded for Involvement with the Sean Kimerling Testicular Cancer Foundation

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Socialware Interviews Lon T. Dolber on Future of Social Media in Financial Services

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American Portfolios Financial Services Invites Seven Influential Keynote Speakers to Connections 2011

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American Portfolios Financial Services Participates in the Second Annual Frost Valley Adventure TEAM Challenge

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Affiliated Colleague Bill Donahue Escorts World War II Veteran to D.C.

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American Portfolios Financial Services Participates in Annual Kidney Walk

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American Portfolios Featured in Wall Street and Technology Magazine for Embracing Cloud Computing

Read More >

American Portfolios Financial Services a Driving Force in 2011 Face of America Bike Ride

Read More >

Careers

Careers

For those who seek freedom of choice, we're the employer of choice.

Working At American Portfolios

Employees at American Portfolios are dedicated, competent individuals, who provide the highest level of service to the firm’s affiliated financial representatives, located in hundreds of branch offices throughout the country. Every employee plays a critical role in meeting this fundamental and core commitment. As a proud recipient, ranking No. 1 in the 2016 New York State’s Best Companies to work for of small to medium-sized firms and ranking in the Top 5 for 2017, American Portfolios provides a pleasant work environment that encourages collaboration, self-initiating work practices and creative thinking for new ideas and ways of doing business. American Portfolios values and nurtures this relationship; the success of our business depends on it.

Key Benefits

Employees at American Portfolios are dedicated, competent individuals, who provide the highest level of service to the firm’s affiliated financial representatives, located in hundreds of branch offices throughout the country. Every employee plays a critical role in meeting this fundamental and core commitment. As a proud recipient, ranking #1 in the 2016 New York State’s Best Companies to work for of small to medium-sized firms, American Portfolios provides a pleasant work environment that encourages collaboration, self-initiating work practices and creative thinking for new ideas and ways of doing business. American Portfolios values and nurtures this relationship; the success of our business depends on it.

Other Benefits

American Portfolios provides several other amenities to full-time employees through generous programs for paid-time off, education tuition reimbursement, completion of FINRA securities license bonuses, committee participation and the opportunity to earn awards and recognitions throughout the year.

Operations Check Processor

Would you like to have an impact on the future growth and profitability of a competitively strong financial services firm?  At American Portfolios, we operate in a team-based environment, made up of diverse associates who are passionate, innovative and focused.  We’re proud of our history, stability and proven track record of success. American Portfolios has made the Inc. 5000 list of fastest-growing, privately-held firms in the U.S. year after year, was awarded the 2015 and 2016 Broker/Dealer of the Year by Investment Advisor magazine, and named one of the best companies to work for in 2016 by the New York State Society for Human Resources Management and the Best Companies Group.

Sound like a company you’d like to join?  American Portfolios (AP) has an immediate need for an operations check processor. In this role, your primary focus will be to review and process the deposits of physical checks and stock certificates in the home office, and to facilitate and support the AP back office and affiliated financial advisors. Specifically, you will be responsible for booking and depositing physical checks that are received daily and processing physical stock certificates to send to AP’s clearing firm. You will also work in tandem with the firm’s affiliated advisors and the clearing firm to resolve any issues with checks and certificates. Additionally, you will process client paperwork for combined statement requests and reviews a portion of the firm’s incoming operational mail.


Responsibilities

  • Provide support to the operations department, and the AP back office staff as needed
  • Book and deposit physical checks received each day in the home office
  • Process physical stock certificates and send to AP’s clearing firm
  • Work with the clearing firm and advisors to resolve issues with checks or certificates
  • Process client paperwork for combined statement requests
  • Review and sort a portion of the firm’s incoming operational mail

Requirements

  • Strong customer service skills
  • Excellent writing and communications skills
  • Detail oriented with the ability to multi-task and prioritize on the go
  • Willingness to grow with the job and learn new functions within the department as needed
  • Knowledge of Microsoft Office applications

Education and Experience

  • An associates or bachelor’s degree with a concentration in economics or finance, or one to two years of related work experience
  • Bank experience preferred

Limitations and Disclaimer

The above job description is meant to describe the general nature and level of work being performed; it is not intended to be construed as an exhaustive list of all responsibilities, duties and skills required for the position. This job description in no way states or implies that these are the only duties to be performed by the employee occupying this position. All job requirements are subject to possible modification to reasonably accommodate individuals with disabilities. American Portfolios provides Equal Employment Opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. To perform this job successfully, the employee must possess the abilities or aptitudes to perform each duty proficiently. Continued employment remains on an “at will” basis.


Human Resources Administrative Associate

Would you like to have an impact on the future growth and profitability of a competitively strong financial services firm? At American Portfolios, we operate in a team-based environment, made up of diverse associates who are passionate, innovative and focused. We’re proud of our history, stability and proven track record of success. American Portfolios has made the Inc. 5000 list of fastest-growing, privately-held firms in the U.S. for seven years in a row from 2007 to 2014, was awarded the Broker/Dealer of the Year* in 2015, 2016 and 2017 by Investment Advisor magazine, and named one of the best companies to work for in 2016 and 2017 by the New York State Society for Human Resources Management and the Best Companies Group.

Sound like a company you’d like to join? American Portfolios (AP) has an immediate need for a human resources administrative associate. In this role, you will provide support in administration, recordkeeping and payroll, to include employee files and records, resumes and interviews, and hiring paperwork. Additionally, you’ll assist with arrangements for organizational training, coordinating recruiting efforts and maintaining the firm’s employee newsletter.


Responsibilities

  • Provide support in administration, recordkeeping and payroll
  • Assist in special projects, such as employee recognition, open enrollment and performance evaluations
  • Maintain employee files and the human resources filing system
  • Provide clerical and technical support in recruiting, hiring, compensation and benefits
  • Maintain employee records, such as training, leave time, etc.
  • Assist in coordinating and uploading all recruiting efforts to career Web sites
  • Assist with reviewing resumes and setting up interviews for new candidates
  • Provide support with coordinating all background checks and drug screening for new hires
  • Maintain and create Standard Operating Procedures as needed
  • Update the firm’s employee newsletter (AP ShopTalk) on a weekly basis, with all current and relevant company news
  • Provide assistance in onboarding orientation, including the hiring process, as well as preparing and completing paperwork
  • Assist with arrangements for organizational training
  • Perform other related duties as required and assigned

Requirements

  • Strong interpersonal and organizational skills
  • Strong verbal and written communication skills
  • Ability to exhibit a high level of confidentiality, adhering to the company’s confidential policies
  • Ability to meet deadlines regularly and monitor several assignments simultaneously
  • Excellent attention to detail and accuracy
  • Proficiency in Microsoft Office programs

Education and Experience

  • High school diploma and/or associate’s degree
  • Two to five years’ experience as administrative support preferred

Limitations and Disclaimer

The above job description is meant to describe the general nature and level of work being performed; it is not intended to be construed as an exhaustive list of all responsibilities, duties and skills required for the position. This job description in no way states or implies that these are the only duties to be performed by the employee occupying this position. All job requirements are subject to possible modification to reasonably accommodate individuals with disabilities. American Portfolios provides Equal Employment Opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. To perform this job successfully, the employee must possess the abilities or aptitudes to perform each duty proficiently. Continued employment remains on an “at will” basis.

*Based on a poll of registered representatives conducted by Investment Advisor magazine. Broker/dealers rated highest by their representatives are awarded “Broker/Dealer (B/D) of the Year.”


Senior Software Engineer

Would you like to have an impact on the future growth and profitability of a competitively strong financial services firm?  At American Portfolios, we operate in a team-based environment, made up of diverse associates who are passionate, innovative and focused.  We’re proud of our history, stability and proven track record of success. American Portfolios has made the Inc. 5000 list of fastest-growing, privately-held firms in the U.S. year after year, was awarded the Broker/Dealer of the Year* in 2015, 2016 and 2017 by Investment Advisor magazine, and named one of the best companies to work for in 2016, 2017 and 2018 by the New York State Society for Human Resources Management and the Best Companies Group.

Sound like a company you’d like to join?  American Portfolios (AP) has an immediate need for a senior software engineer. In this role, you will be responsible for rapidly iterating on platform features by writing elegant, reliable and readable code to build a robust, lasting and scalable platform. The senior software engineer will help evolve the software development methodology based on agile and lean thinking, including the establishment of coding conventions, documentation standards, testing procedures and quality assurance.


Responsibilities

  • Rapidly iterate on platform features by writing elegant, reliable and readable code to build a robust, lasting and scalable platform
  • Be a subject matter expert by identifying technology trends and platforms, including Web and mobile apps, and collaborate with other team members to make recommendations based on the company’s needs
  • Push limits of platform innovation using the latest advancements in technology and methods by working closely with product managers, designers and other engineering teams
  • Conduct code reviews and specification conformance testing as defined by the selected software development methodology before deploying to production and staging servers
  • Help evolve the software development methodology based on agile and lean thinking, including the establishment of coding conventions, documentation standards, testing procedures and quality assurance
  • Lead and mentor other developers, coach your colleagues and communicate cross-functionally to drive engineering efforts
  • Maintain up-to-date knowledge of technology standards, industry trends, emerging technologies and software development best practices
  • Ensure technical issues are quickly resolved, and implement strategies and solutions to help reduce the likelihood of reoccurrence
  • Identify competitive services and opportunities for innovation, and provide an assessment of obstacles and technical hurdles to the success of the platform

Requirements

  • Strong C# / MVC / ASP.NET skills, REST and SOAP API integration skills, and SQL and database skills
  • Strong architecture and planning skills
  • Solid source code management skills, particularly with Git
  • Strong container and container orchestration skills, particularly with Docker and Kubernetes
  • Working knowledge of Angular, Node.js, Linux and Azure
  • Familiarity working with project tracking systems such as Jira and continuous integration environments
  • Detail-oriented, self-motivated character committed to excellence who takes unrelenting pride in the code they write
  • Ability to discern user requirements and develop specifications
  • Excellent problem solving skills, willingness to take ownership and risks, and enthusiasm in the face of technical challenges
  • Demonstrated ability to set priorities and work in a fast-paced, dynamic team environment
  • Rigor and a disciplined approach in testing, test coverage, quality assurance and other software development best practices

Education and Experience

  • Bachelor’s degree in computer science, information systems or related technology field
  • Five-plus years’ experience in developing Web-based applications, ideally in a Microsoft environment
  • Experience working with agile methodologies, such as Kanban, TDD or Scrum
  • Financial industry experience is a plus

Limitations and Disclaimer

The above job description is meant to describe the general nature and level of work being performed; it is not intended to be construed as an exhaustive list of all responsibilities, duties and skills required for the position. This job description in no way states or implies that these are the only duties to be performed by the employee occupying this position. All job requirements are subject to possible modification to reasonably accommodate individuals with disabilities. American Portfolios provides Equal Employment Opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. To perform this job successfully, the employee must possess the abilities or aptitudes to perform each duty proficiently. Continued employment remains on an “at will” basis.


Data Operations Analyst

Would you like to have an impact on the future growth and profitability of a competitively strong financial services firm?  At American Portfolios, we operate in a team-based environment, made up of diverse associates who are passionate, innovative and focused.  We’re proud of our history, stability and proven track record of success. American Portfolios has made the Inc. 5000 list of fastest-growing, privately-held firms in the U.S. year after year, was awarded the Broker/Dealer of the Year* in 2015, 2016 and 2017 by Investment Advisor magazine, and named one of the best companies to work for in 2016, 2017 and 2018 by the New York State Society for Human Resources Management and the Best Companies Group.

Sound like a company you’d like to join?  American Portfolios (AP) has an immediate need for a senior systems administrator. In this role, you will be responsible for providing process-focused analytics support to the operations team and performing data analysis, data matching and review on custodian data.  This position will require the individual to identify and troubleshoot data quality solutions in a timely, cost-effective manner, as well as work with internal and external teams on requirements, process improvements and data review.


Responsibilities

  • Provide process-focused analytics support to the operations team
  • Analyze all aspects of the operations experience, including but not limited to, customer experience, key internal consumers and servicing performance
  • Perform data analysis, data matching and review on custodian data
  • Identify and troubleshoot data quality solutions in a timely, cost-effective manner
  • Work with internal and external teams on requirements, process improvements and data review
  • Ability to meet deadlines and manage time effectively in a consumer data delivery support role
  • Ability to manage multiple projects and prioritize work load effectively
  • Work as a team player in delivering quality data to clients
  • Analyze technical and general business problems and issues using and managing data from internal and external sources to provide insight to decision-makers
  • Develop skill-set in core technologies, expand technical capabilities within department
  • Other duties and/or special projects as assigned

Requirements

  • Strong project management, communication and multi-tasking skills
  • Ability to work independently with little supervision
  • Ability to manage complexity and multiple initiatives
  • Capability to perform ad-hoc analysis, and glean and form business insights under aggressive timelines
  • Ability to synthesize/analyze diverse information, and develop and recommend strategy
  • Strong understanding of application development approaches, such as Scrum, SDLC etc.
  • Knowledge of SQL / Databases a plus
  • Exceptional service attitude and the willingness to go the extra mile to deliver exceptional service
  • Commendable team collaboration skills even in a global virtual team setup
  • Strong communication skills in English, both oral and written

Education and Experience

  • Bachelor’s degree in computer science, information technology or related technology field
  • Three-plus years’ experience in data operations, and operations in financial industry a plus
  • Experience in a data processing environment
  • Experience in broker/dealer data operations

Limitations and Disclaimer

The above job description is meant to describe the general nature and level of work being performed; it is not intended to be construed as an exhaustive list of all responsibilities, duties and skills required for the position. This job description in no way states or implies that these are the only duties to be performed by the employee occupying this position. All job requirements are subject to possible modification to reasonably accommodate individuals with disabilities. American Portfolios provides Equal Employment Opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. To perform this job successfully, the employee must possess the abilities or aptitudes to perform each duty proficiently. Continued employment remains on an “at will” basis.


Business Services Associate

Would you like to have an impact on the future growth and profitability of a competitively strong financial services firm?  At American Portfolios, we operate in a team-based environment, made up of diverse associates who are passionate, innovative and focused.  We’re proud of our history, stability and proven track record of success. American Portfolios has made the Inc. 5000 list of fastest-growing, privately-held firms in the U.S. year after year, was awarded the Broker/Dealer of the Year* in 2015, 2016 and 2017 by Investment Advisor magazine, and named one of the best companies to work for in 2016, 2017 and 2018 by the New York State Society for Human Resources Management and the Best Companies Group.

Sound like a company you’d like to join? American Portfolios (AP) has an immediate need for a business services associate. In this role, you will support the firm’s business services department in the processing, review and interactive completion of New Account Forms (NAFs) and new account information for both hardcopy forms and through AP’s main operating system, STARS. More specifically, you will conduct homeland security checks for new clients, scan all incoming hardcopy NAFs, open brokerage accounts through STARS, and provide support and training to affiliated financial advisors in the field on STARS.


Responsibilities

  • Review all new account information for completion and accuracy
  • Input and review New Account Forms (NAFs) in STARS
  • Utilize the STARS Business Processing Module (BPM) to blotter transactions when necessary
  • Process requests in STARS to open brokerage accounts and managed accounts through the broker/dealer (B/D) clearing firm
  • Upload managed accounts to the clearing firm’s Managed Investments System
  • Create requests for Info Direct and Advent Feeds for managed accounts
  • Process account changes and updates within STARS and NetEx360
  • Conduct Homeland Security checks of all new investing clients and obtain verification on all failed clients from representatives to clear any discrepancies
  • Spot check three-year verification, welcome letters and address changes that will be sent to clients
  • Create tickets through Salesforce ticketing system to assist affiliated financial advisors with any questions or queries
  • Process STARS-generated failed mail
  • Create a one-stop-shop liaison service for new affiliated financial advisors
  • Assist in the coordination and implementation of representative candidates transferring to AP
  • Produce and collate transfer and any account-opening paperwork
  • Process, prepare and follow up on all incoming change of B/D requests
  • Create affiliated advisors’ identification numbers and enter them into back office systems
  • Process and follow up on branch address change requests, client account address changes, advisor account change requests and termination of advisors in back office systems
  • Complete team projects when necessary
  • Maintain management company contact listings

Requirements

  • Proficient in technology platforms and programs, and adaptability to learn new platforms quickly
  • Proficient in Pershing’s NetX360 and Albridge, as well as Microsoft Excel, Outlook and Word
  • Excellent communications and customer service skills
  • Detail oriented with the ability to multi- task and keep up with industry demands

Education and Experience

  • Bachelor’s degree in related field
  • Some experience within a business/office setting is preferred

Limitations and Disclaimer

The above job description is meant to describe the general nature and level of work being performed; it is not intended to be construed as an exhaustive list of all responsibilities, duties and skills required for the position. This job description in no way states or implies that these are the only duties to be performed by the employee occupying this position. All job requirements are subject to possible modification to reasonably accommodate individuals with disabilities. American Portfolios provides Equal Employment Opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. To perform this job successfully, the employee must possess the abilities or aptitudes to perform each duty proficiently. Continued employment remains on an “at will” basis.


Digital Marketing Associate

Would you like to have an impact on the future growth and profitability of a competitively strong financial services firm? At American Portfolios, we operate in a team-based environment, made up of diverse associates who are passionate, innovative and focused.  We’re proud of our history, stability and proven track record of success. American Portfolios has made the Inc. 5000 list of fastest-growing, privately-held firms in the U.S. for seven years in a row from 2007 to 2014, was awarded the Broker/Dealer of the Year* in 2015, 2016 and 2017 by Investment Advisor magazine, and named one of the best companies to work for in 2016, 2017 and 2018 by the New York State Society for Human Resources Management and the Best Companies Group.

Sound like a company you’d like to join? American Portfolios (AP) has an immediate need for a digital marketing associate to work in the marketing and corporate communications department. Here’s what we expect of you:

  • Demonstrate a competitive drive and desire to surpass established goals, key metrics and standards of performance
  • Quickly develop a rapport with internal departments and external marketing qualified contacts to help achieve the company’s marketing and sales goals; digital marketing efforts should contribute $2 million of GDC recruited to the firm
  • Establish from the marketing machine 50 sales qualified leads
  • Know how to frame conversations strategically and overcome objections: negotiating, persuading, listening and explaining ideas
  • Within three months, become the consummate ambassador for the firm with an innate understanding of AP’s culture, value proposition, mantra and core values
  • Within six months, become the marketing automation right-hand person for the vice president of marketing strategy
  • Complete two digital marketer courses within the first year of employment

Responsibilities

  • Use excellent communications and sales skills to make and/or receive outbound/inbound calls of marketing qualified leads from the marketing automation machine, developing relationships with prospective investment professionals to establish the quality-level and sales-qualified readiness of recruiting candidates
  • Write and deliver demos of the firm’s technology platform, HomePort, and all its related Web services and advisory offerings to potential recruits via GoToMeeting
  • Assist vice president of marketing strategy with all digital and Internet marketing initiatives
  • Develop a proficiency in the use of various digital marketing tools and channels used by the firm, such as Act-On, Web analytics, search engine optimization, e-mail marketing and Facebook/LinkedIn/Twitter social media platforms to promote AP’s value proposition, products and services
  • Inevitably mange all aspects of automation programs and execution, including list segmentation, e-mail creation, workflow development, quality assurance, scoring models, reporting and performance optimization (includes A/B testing)
  • Execute daily workload using team’s project collaboration system; partner closely with editorial, video and other digital marketing colleagues to build campaign assets
  • Partner with internal data teams as needed to ensure data hygiene, quality and integrity
  • Stay current on industry best practices through external benchmarking and other thought leadership forums, proactively documenting and sharing best practices with the broader team
  • Ensure compliance to regulatory requirements and controls, such as CAN-SPAM, CASL, etc.
  • Help build and maintain campaign calendars and standardized reports to facilitate collaboration between sales and marketing

Requirements

  • Ability to communicate excellently, both in written and verbal forms
  • Perceptive and observant in understanding the needs of people
  • Proven project management with ability to complete tasks and responsibilities independently with limited or no supervision at all
  • Highly organized and proactive
  • Ability to multitask and prioritize duties under pressure, and deliver quality results
  • Possess positive attitude, sound judgement and top-level professionalism
  • Possess team spirit and the ability to interact professionally with team members within and outside of the department
  • A hands-on, roll-up-your-sleeves mindset and work style
  • Possess top-class Internet proficiency and digital media savvy, including using several social media platforms
  • Proficiency with Web services, CMS system, and basic desktop and cloud-based applications (i.e. Microsoft Office, Adobe Creative Suite WordPress, HTML, Sharepoint and Salesforce)
  • Familiarity and/or propensity for an understanding of digital media/marketing automation tools, such as Eloqua, ActOn, Google Analytics, SEO, SEM, Google ads, Facebook campaigns, LinkedIn and Twitter extended marketing tools

Education and Experience

  • Bachelor’s degree in business, communications, marketing and/or digital marketing
  • Minimum of three years working experience in a business-related and/or marketing field
  • Proven project management experience from inception to implementation
  • Proven telemarketing and/or sales experience
  • Experience working in the financial services sector, more specifically in the securities industry and/or an RIA firm, preferred

Limitations and Disclaimer

The above job description is meant to describe the general nature and level of work being performed; it is not intended to be construed as an exhaustive list of all responsibilities, duties and skills required for the position. This job description in no way states or implies that these are the only duties to be performed by the employee occupying this position. All job requirements are subject to possible modification to reasonably accommodate individuals with disabilities. American Portfolios provides Equal Employment Opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. To perform this job successfully, the employee must possess the abilities or aptitudes to perform each duty proficiently. Continued employment remains on an “at will” basis.


Chief Legal Compliance Officer

Would you like to have an impact on the future growth and profitability of a competitively strong financial services firm?  At American Portfolios, we operate in a team-based environment, made up of diverse associates who are passionate, innovative and focused. We’re proud of our history, stability and proven track record of success. American Portfolios has made the Inc. 5000 list of fastest growing, privately-held firms in the United States six consecutive years.

American Portfolios has an immediate opportunity for a chief legal & compliance officer with broker/dealer (B/D) and registered investment advisor (RIA) experience.  As the chief legal & compliance officer, you will report directly to the CEO and will be responsible for all legal and compliance matters.


Responsibilities

  • Within the first three months—Develop and begin to execute a plan to combine and centralize the advisory compliance function with the B/D compliance function. The plan should include organizational structure, roles and responsibilities, and process workflow.
  • Within six months—Establish a stock transfer function for the holding company to facilitate the issuance and transfer of holding company shares and the maintenance of a stockholder. Negotiate with insurance brokers and underwriters in securing professional liability insurance, cyber insurance and fidelity bond coverage.
  • Within nine months—Complete a full process and technology audit of the centralized compliance function, and a full review of supervisory controls in place for both the B/D and the RIA firm.
  • Within 12 months—Through utilizing outside vendors and/or internal technology, establish a contract management system for all contracts executed by the holding company and all subsidiaries.

Limitations and Disclaimer

The above job description is meant to describe the general nature and level of work being performed; it is not intended to be construed as an exhaustive list of all responsibilities, duties and skills required for the position. This job description in no way states or implies that these are the only duties to be performed by the employee occupying this position. All job requirements are subject to possible modification to reasonably accommodate individuals with disabilities. American Portfolios provides Equal Employment Opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. To perform this job successfully, the employee must possess the abilities or aptitudes to perform each duty proficiently. Continued employment remains on an “at will” basis.