- NASD (FINRA) Series 7,9,10,63,65
- Registered Para-planner (RP)
- Compliance Audit for: AML, USA Patriot Act, BSA, KYC, CRA, NASD, NYSE, SEC branch compliance for correspondence, new accounts, options, and margin requirements
- 12 years progressive financial sales/service experience
- 5 years brokerage supervision and management experience
Seeking a position in administration, sales, or a related role. The position should capitalize on experience and abilities to grow and manage the firm's business while providing a challenging career opportunity.
Aug 2008 - Present
Apr 2006 - Sep 2007
Educate branch clients on financial products, services, and technology offerings. Achieve retention and asset gathering for 410 households/$425 million in assets by engaging book clients regarding outside accounts. Regularly exercise discretion and business judgment; research and resolve customer problems immediately or lose current opportunity to acquire assets. Manage book contact schedule as required, making outbound calls. Maintain and update prospect and sales reports. Handle all branch management responsibilities in the manager's absence.
- Ranked 4th in the company in Q1-07 & Q2-07 for new assets Q1-$14MM & Q2-$31MM and retention at 99.8%. Scored 100% on all secret shops.
Oct 2005 - Mar 2006
Investor Services Advisor
May 2004 - Sep 2005
Private Banker - Investment Consultant
Provide full-service banking and investment services to affluent clients ($1MM+), oversee a portfolio of complex and/or packaged-product accounts. Consult with clients regarding full portfolio financial planning, resolves inquiries, open and service accounts within authorized limits such as checking, credit/loan, and investments. Cross-sell products including Trust, Investment Management, Wealth Planning, and Philanthropic Services. Develops new business through servicing customer referrals and community organizations/events.
- Grew business to $200MM in 15 months and top private banker for new relationships 5 of the last 7 months.
Oct 2003 - May 2004
Financial Advisor - Investment Sales Team Leader
Responsible for full service investment sales and banking product cross selling in a multi branch environment. Servicing existing business through private client, commercial, brokerage, insurance, and retail banking services. Additional duties included acting as a sales/compliance manager in the branches by training bankers and tellers on profiling and selling techniques to uncover additional assets for future sales opportunities from referrals, cold calling, and account reviews.
- Improved investment assets by 720% and improved banker performance by 207%.
Jun 1997 - Oct 2002
Investment Specialist - Acting Team Manager
Responsibilities included business development and cross-selling, portfolio planning through the use of equities, fixed income, mutual funds, and money markets, and the use of advanced strategies for equities and options (spreads, straddles, buy-writes, roll-outs.) In addition, supervisory duties included options oversight and new account approvals, client escalations, external communications oversight, daily trade & margin call review, supervising equity recommendations, coaching and development, and firm risk management.
- Top team for client satisfaction, highest retention ($1.5 Billion), and highest new business with $20MM in new assets for 2000.
Jan 1999 - Jun 1999
College for Financial Planning
Aug 1991 - May 1992
Bachelor of Science
Completed one year in program.