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Dear Director of Human Resources:

I would like to introduce myself and apply for an Executive-Management position.  I know that with my strong combination of professional experience and education, I would become a valuable asset to your organization.

I have many years of excellent experience. Through my experience, I have developed and refined my skills in many areas including sales management, training of sales personnel, marketing strategy development, account management, new product introduction and client relations. I am a seasoned sales management professional  I am also highly-experienced in working at the local, regional and national levels and though various different sales channels.

I have developed strong communication and people skills, am highly motivated and possess an ability to meet challenges directly. In short, I know that I would be a strong addition to your team.

I’ve enclosed my resume for your review, and look forward to hearing from you in the near future.



As a FINRA Series 24 General Securities Principal I've successfully managed Registered Investment Advisor programs and Office of Supervisory Jurisdiction (OSJ) activities and have a strong understanding of the industry's rigorous regulatory environment.The Managing Principal position requires a unique mix of sales, leadership, management and consulting abilities.I have built successful institutional and retail Retirement Planning, Investment Advice, and Field Sales teams. I am an experienced Registered Financial Consultant (RFC) practitioner, so I understand consultants and how to build systems to help them sell effectively, as well as how to relate to prospective clients of all walks of life and income levels with multiple and varied goals and objectives.

I am a highly accomplished and results-driven financial executive with over 30 years of successful new business development, competitive market-share expansion, and business leadership development.My experience has enabled me to leverage finely-honed interpersonal and time management skills to successfully manage accounts and increase market value, thereby achieving corporate as well as clients’ objectives.I am an astute communicator and presenter, adept at establishing rewarding relationships.

I would now like to channel my experience and energies in serving a new business venture.I have a combination of marketing, operations and technical expertise, along with demonstrated sales management success. I am willing and enthused to accept new responsibilities and challenges as well as learn new skills.I can define any given situation, analyze data appropriately, present suitable recommendations and monitor the results according to the expressed objectives.


Senior Compliance Officer
Ensure acquiescence with compliance standards and regulatory requirements. Identify compliance risks from every business line and manage them by providing training, advice, testing and monitoring. Carry out compliance planning for every business line. Developed and updated inventory of regulations, rules, practices and guidelines for Florida, Alabama and Mississippi operations. Presented the firm in communication and interaction with regulatory bodies. Held compliance training and responsible for updating employees and line managers on compliance related matters. Review and monitored internal procedures and practices to provide compliance with group and regulatory requirements. Make sure that systems and Anti-Money Laundering (AML) processes meet the requirements of regulatory agencies. Implemented specific measurements and monitored business activities as necessary. Carry out ad hoc projects and prepared period reports to management.

Work experience

Jan 2009Present

Financial Consultant / Managing Director

Integrity Asset Management
Mar 2000Dec 2008

Managing Director

Smart Money Management Group
Jun 1993Feb 2000

District Manager

American Express Financial Advisors
Jun 1986May 1993

Division Vice President / Managing Principal

American Express Financial Advisors
May 1980Jun 1986

Financial Advisor

American Express Financial Advisors
Jun 1973Jan 1980

Director, Heart & Lung Center

Greenville Hospital
May 1971Jun 1973

Cardiopulmonary Technologist

West Penn Hospital


Feb 2004Jan 2005

RFC Designation

Int'l. Ass'n. of Registered Financial Consultants
Sep 1984Sep 1986

CFP designation

College for Financial Planning
Aug 1967May 1971


Washington & Jefferson College