Chris Radford

Chris Radford

Summary

Decisive senior-level financial services executive with successful experience in leadership, strategic and business planning, operations and technology, sales and marketing, financial analysis, acquisitions and administration.

  • Lead family owned independent broker-dealer through infrastructure retooling and record growth.
  • Led successful business development, sales and strategy development, strategic partner, branch supervision and recruiting programs for the independent advisor channel driving a 20% increase in production and 40% increase in recruiting results.
  • Developed sales and marketing plans for advisory platform AUM growth of $3.5B over 4 years.
  • Directed acquisition process and integration of bank broker/dealers.
  • Developed technology solutions for sales, operations and customer service in bank broker/dealer program.
  • Successfully managed value added integration and economic increases in strategic partner relationships.

 Results-oriented manager who quickly establishes goals and builds relationships, promoting team successes and individual achievements through direct action and initiative.

Work History

Work History

Vice-President

Union Bank

Vice President, Administration

  • Responsible for marketing, MIS, accounting, product management, strategic planning, sales support, and training.
  • Created and implemented an innovative strategic and business plan to provide products and services through telephony and Internet (Invest@Home).
  • Managed the strategic and business relationships with market data providers, clearing firm and product sponsors.
  • Directed the strategic relationships with the parent to achieve required support for initiatives.

Vice President, Regional Sales Manager

  • Managed the distribution of investment products to private bank, retail and corporate customers through registered representatives and managers.
  • Led the state in sales growth with the development of and conversion to a dedicated investment representative program.

Senior Vice-President, Market Director

PNC Investments, Inc
  • Directed investment activities for multi state territory with 125 brokers and $35 million in annual revenue.
  • Led project management for new firm initiatives including platform branch sales, asset management account, territory optimization, compensation re-engineering and junior broker program.
  • Developed and implemented efficiency program driving increased sales from existing clients.
Dec 2010 - Present

Founder and Consultant

CBR, LLC

Consulting firm dedicated to helping independent financial services firms (mutual funds, broker-dealers and RIAs) achieve their goals in business development, marketing, compliance and operations. Specializing in risk management and accelerated growth opportunities.

  • Assisted FINRA New Member Application Processes.
  • Supported new mutual fund advisor facing a communications.
  • Developed strategic marketing plan for start-up registered investment advisor.
  • Working with financial advisors on business model migration and succession planning.
Jun 2007 - Dec 2010

President, CEO and Board Director

VSR Financial Services, Inc

Responsible for strategic and tactical direction of 300 advisor privately held independent broker/dealer.

  • Launched an annual strategic planning and budgeting process, including providing the change management necessary to integrate it into the organization.
  • Initiated a business development focus supported by a newly developed in-house coaching program with stronger, more valuable strategic partner relationships.
  • Increased recruiting levels by 200% with 18 months through systemic process and redefining of BD story.
  • Managed organization through market difficulties and investment strategy dislocations.
  • 2009 achievements include: Top Ten AUM per Rep, VSR is 3rd in Average Total Revenue per Rep at $275,000 and 66% of VSR's Reps have production greater than $100,000, increased pre-tax revenue by 77%.
Sep 2002 - Jun 2007

Executive Vice-President, National Sales

AIG Financial Advisors (now SagePoint)

Directed national recruiting, branch supervision, business development, and sales and strategy for large independent broker-dealer.

  • Served on Executive Committee, driving direction and strategy for the company.
  • Devised strategy for and implemented comprehensive recruiting strategy for new financial advisors.
  • Managed first line supervision of independent OSJ managers (450) and registered representatives (1800).
  • Created value added business development program for the recruitment and retention of independent reps.
  • Integrated compliance/supervision, risk management processes into OSJ responsibilities.
  • Provided compliance assistance to advisors managing to regulatory issues relating to FINRA and SEC oversight.
  • Successfully integrated strategic partner relationships into advisor's business models.

May 2000 - Aug 2002

Senior Vice-President, Financial Services Group

Washington Mutual, Inc

Director of Sales, Member of Investments Business Line Executive Committee

  • Directed sales management and distribution for bank broker/dealer of 675 brokers in thirteen states through a staff of 30 regional managers.
  • Developed comprehensive improvements in broker and sales management compensation supporting increased production and retention.
  • Produced "best practices" for brokers promoting teamwork and mutual increased production for bank branch environment

Chief Administrative Officer                                                                                                                                       

  • Oversaw all administrative departments for broker-dealer and mutual fund complex, including Compliance, Information Technology, Call Center, Strategic partners,Brokerage Operations, Project Office and Mutual Fund shareholder services.
  • Facilitated successful integration and conversion for two broker/dealer acquisitions.
  • Managed to a client-centric service delivery resulting in an 80% reduction in error rates as well as increased client service levels in customer contact areas.
  • Drove adoption and implementation of eCRM system, Filenet imaging and data warehouse systems for front-to-back office use.
  • Championed and executed the development a front end, web based new account system utilizing Siebel technology.

Consultant to Washington Mutual                                                                                                Feb 2000 - May 2000

Dec 1998 - Jan 2000

Director of Sales and Training

Main Street Trading Company
  • Directed sales, training, recruiting, compliance, compensation and incentive, and promotion for 170 brokers and sales support personnel.
  • Developed online sales strategy for websites with a 200% increase in Q1 and Q2 sales.
  • Managed to a 25% year-to-year increase in revenue and new account acquisition.
Apr 1987 - Sep 1993

Regional Sales Manager

HomeFed Insurance/GNA Securities

Education

Education

BA

National University

Certifications

Certifications

Life and Health License

State of Kansas

Series 4, 7, 24, 63, 66 & 79

FINRA