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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 experience

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 ([email protected]).
  • 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 2010Present

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 2007Dec 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 2002Jun 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 2000Aug 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 1998Jan 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 1987Sep 1993

Regional Sales Manager

HomeFed Insurance/GNA Securities

Education

BA

National University

Certifications

Life and Health License

State of Kansas

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

FINRA