T. Chap Moore


  • Established financial professional with over 10 years experience driving revenue, impacting business goals and providing excellent client service.
  • Distinguished as a person of ingenuity who builds creative, low-cost products from the ground up resulting in business development, growth and top-line revenue.
  • Designed innovative financing transaction worth $1.4 Billion to meet client and company needs.
  • Collaborated to build online trading platform which resulted in $1 Million sales annually.
  • Ability to secure trust of senior management, team and clients to implement strategic goals.
  • More than 10 years experience driving bottom-line business results by managing projects and processes that deliver a great client experience.
  • History of exercising independent judgment to identify improvement opportunities and implement process optimization efforts which dramatically impact business performance.
  • Trusted consultant to senior management, teams and clients.

Work experience

Work experience
Mar 2009 - Present

Financial Advisor

Morgan Stanley Smith Barney

  • Monitor, analyze and manage client portfolios of $5+ Million.
  • Developed relationships with 12 high net worth families through targeting and personal referrals. 
  • Listen, analyze and provide guidance to team members and clients to address unique and challenging situations, resulting in optimal decision-making and client solutions.
  • Help clients psychologically navigate tumultuous economic climate to become more comfortable with investment strategy, based on their risk tolerance.
  • Collaborate with other areas of the firm, including asset management, banking, consulting and investment banking, to meet client investment goals. 

Process Design

  • Designed and implemented new sales process, growing assets under management by more than 30% and revenue by 20%.
  • Mitigated risk and increased overall returns for clients through design and implementation of new investment planning process.

Process Management

  • Manage optimization of sales and investment processes. 
  • Identify requirements and set goals that are clear, measurable and achievable.
  • Create checklists, cross-checks and timeline for implementation.
  • Communicate to stakeholders/clients the plan, timeline and methods for evaluation.
  • Identify threats and strategize contingency plans.
  • Implement the plan and monitor results, utilizing checklists and cross-checks.
  • Develop controls to maintain improvements.
  • Provide regular status updates regarding process results vs. objectives.
  • Analyze data to identify improvement opportunities.
  • Identify lessons learned and integrate into future plans.
  • Coach and train team members and clients to address unique and challenging situations, resulting in optimal decision-making and client solutions.
  • Collaborate with other areas of the firm to meet client goals
Feb 2005 - Mar 2009

Assistant Vice President

Merrill Lynch

  • Designed innovative $1.4 Billion financing transaction which increased company’s cash flow while meeting client needs for interest earning assets.
  • Built relationships with ultra-high net worth individuals and institutions to service fixed income needs on a day-to-day basis.
  • Conducted complex financial transactions involving attorneys, trading desks and internal and external executive management.
  • Executed deals from inception through execution and termination.
  • Directed daily activities of client associates.
  • Managed bond portfolios in excess of $150-$200 Million of sales per day.
  • Process Improvement
    • Implemented Customer Relationship Management system, eliminating redundancy of contacts and enhancing customer experience, while better utilizing resources.
    • Identified inefficiencies in processes, reducing the number of transactions by 50%, resulting in approximately $30,000 annual savings.
    • Simplified sales process by creating a single point of contact for clients.
    • Standardized new business process to regularly contact clients and prospects, which led to 100% increase in revenue in first year of implementation.

    Team and Leadership Skills

    • Presented recommendations and provided status updates to senior management.
    • Created more revenue-generating time for sales team by developing and leading weekly team meetings to address and solve client problems.
May 2002 - Feb 2005

Fixed Income Sales and Trading

Uvest Financial Services
Sep 1999 - Dec 2001

Fixed Income Sales and Trading



Sep 2009 - Present

Masters of Business Administration

Jack Welch Management Institute @ Chancellor University

  • Talent management
  • Motivating employees to achieve 
  • Brand equity
  • Driving for results
  • Informing, persuading and engaging others
  • Strategic planning and implementation
  • Market analysis
  • Risk management
  • Consumer psychology
  • Quantitative analysis
  • Business models and funding sources
  • Cash flow analysis
  • Six Sigma

  • Process Improvement
  • Process Optimization
  • Project Management
  • Driving for Results
  • Leading Change
  • Eliciting Support
  • Motivating Others
  • Organizational Change
  • Putting Plans into Action
  • Sharing Information
  • Managing Conflict



Insurance License

North Carolina Insurance Commission

Securities Licenses