Financial Advisor Resume Redwood Shores, CA - Hire IT People

PROFESSIONAL SUMMARY

FINRA - NASD Series 7, 63, 66 Licenses, California Life and Health wif a clean U-4.
Established and trusted professional referral network of CPA’s, Estate and Trust Attorneys.
Advanced skills in Fundamental and Quantitative analysis, equity, fixed income, options, portfolio and risk management.
Experienced wif banking platforms including cash, credit products, operational and compliance issues.
Proficient wif Excel, Word, Power Point, Salesforce, Bloomberg, Standard & Poors and Thomson-Reuters data packages.

PROFESSIONAL EXPERIENCE

Confidential, Redwood Shores, CA

Financial Advisor

Responsibilities:

Actively managing $18 million in assets under management.
Acting as business development leader and investment strategist for a team of 3. Identified and closed $1 million in annuities.
Introducing fee based comprehensive financial planning combined wif asset management campaigns on tax uncertainties. Successes to date have resulted in active interest from senior CPA managers.
Spearheading CPA business development initiatives to partners and directors of international and regional CPA firms to increase referral business.

Confidential . San Francisco, CA

Senior Managing DirectorPlanned and directed re

Responsibilities:

Produced $40 Million in referral and consulting assets
Established and developed an active profitable long term referral network specifically wif senior tax, corporate benefits, audit and estate CPA’s. These relationships are active and willing to advance current referrals.
Designed and implemented CRM sales tracking methodology which were adopted by senior management as the primary baseline referral and revenue data models.

Confidential, San Francisco, CA

Investment Consultant

Responsibilities:

Increased new assets under management by $7-10 Million per quarter.
Exceeded sales goal of ETF based asset allocation portfolios by 150%.
Led branch wif consistent client satisfaction survey scores of over 95 percent.
Created new database queries to increase and improve sales campaigns. Improved target results by 25 percent.
Coordinated and coached a colleague wif a sophisticated prospect resulting in closing a $240 Million account.

Confidentia Francisco, CA

Financial Consultant

Responsibilities:

Performed financial needs analysis and provided advisory services in accordance wif investment objectives. Closed a minimum of 5 fee based advisory solutions wif a minimum of $400,000 per solution.
Delivered $14 Million in new assets under management in first quarter of production.
Averaged $11 Million in new assets under management per quarter.
Led branch in mortgage referrals to Schwab Bank.

Confidential, San Mateo, CA.

Client Financial Analyst

Responsibilities:

Streamlined and consolidated client profitability portfolios focusing on the business banking markets to design and execute cross sales opportunities and tracking models. Resulted in a 200% increase in sale and applications.
Increased branch sales referrals by 75% by coaching team members on recognition of actionable opportunities.
Assisted in developing new account tracking methods which led to the areas first perfect branch audit score.
Led area in SBA and Business Lines of Credit applications and new accounts by door to door prospecting.
Demonstrated exceptional leadership by being selected to conduct sales training for new bankers in San Diego, CA. following merger wif California Federal Savings Bank.

Confidential, San Mateo, CA

Financial Advisor

Responsibilities:

Ranked 3rd in Equity Syndicate production leveraging new offerings to increase assets under management.
Concentrated sales efforts to leverage equity research product in combination wif options for tactical allocation benefits.
Performed quarterly and annual portfolio reviews in accordance wif investment policy statements to ensure compliance and deepen relationships.
Established relationships wif VP of Stock Administration to execute cashless option exercises wif Bank of America, Genentech and Applied Biosytems directly contributing to new accounts and new assets under management.
Consistently worked to maintain and increase business development referral network.
Maintained constant communications to relay any changes in equity ratings and market conditions.
Adapted and responded quickly and professionally to all questions and concerns resulting in a 95% retention rate.