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Summary

  • 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

Mar 2009Present

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 2005Mar 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 2002Feb 2005

Fixed Income Sales and Trading

Uvest Financial Services
Sep 1999Dec 2001

Fixed Income Sales and Trading

DLJDirect

Education

Sep 2009Present

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

Portfolio

Certifications

Insurance License

North Carolina Insurance Commission

Securities Licenses

FINRA