SUMMARY:

Results driven Financial Services Wholesaler experienced in Investments and Brokerage, with proven Relationship Management skills to assure success within a financial organization

TECHNICAL SKILLS:

• Excel
• MS Office
• PowerPoint
• Outlook
• Bloomberg
• Lotus Notes
• Morningstar
• Zephyr
• SalesForce
• Siebel
• Citrix Go - to Meeting

PROFESSIONAL EXPERIENCE:

Confidential, Columbus, OH

Trader / Service Professional

Responsibilities:

• Within Confidential 's Stock Plan division, a high volume call center, responsible for placing and executing employee stock, options, and restricted share trade requests for participants in various Corporate employee stock plans across various platforms.
• Also, help individuals realize the value of their equity compensation within their specific company while providing technological access to a participant stock portal, support clients with investment modeling of their stock holdings, restricted stock, and options to facilitate decisions within a price dependent trading operation at Confidential .

Confidential, Columbus, OH

Regional Territory Wholesaler

• Sales Goal Achievement - Awarded President's Council 2013, Conference qualifier
• Achieved 126% of sales goal within the first year of production
• Consistent sales growth annually, 121% production July YTD 2015
• One of the selected few chosen to the Regional Wholesaler (Hybrid) team responsible for covering all channels of advisors and firms for the Confidential Funds Group, representing the non-metropolitan statistical areas (MSA) of a regional territory within a newly developed position.
• As a Regional Wholesaler, solely responsible for prospecting, regional travel to advisor offices, and, virtual meetings (Go-to-Meeting) with clients via desktop to promote mutual fund sales.
• Manage all aspects of budget, travel, marketing, and sales efforts for success. (OH, KY, TN, ME, NH, VT, DE, NY, PA, WV, NC, SC, GA, MI, VA, MS)

Confidential, Columbus, OH

Regional Internal Consultant

• Responsible for closing $9MM ticket in region via consultative methods working with Advisors, July 2012.
• For 2011 sales efforts, selected as the Confidential Quest Awards winner for most outbound sales contacts and attempts among peers quarterly and annually.
• Within the first year back, achieved over 100% of sales goal for the Confidential Group
• Develop and maintain Relationship Management via outbound sales calls to establish new Advisors while managing a current customer base for a Variable Annuity utilizing alternatives and alternative strategies.
• Effectively handle incoming inquiries while presenting sales ideas on Annuity product from Wirehouse, Independent Dealers, and Registered Investment Advisors (RIA) throughout country.
• Proactively prospect to establish meetings with Firms and Advisor Groups to keep visibility of Confidential product line while working as a team with external partner.
• Independent analysis of product line versus competition is utilized to broaden relationships and to facilitate sales.
• With much success at Confidential, rehired back from a division shutdown of a Confidential product line.

Confidential, Columbus, OH

Regional Sales Specialist

• First Wholesaler within Advisory Services history to achieve Sales Goal 2006 - President’s Council
• Exceeded 2007 sales goal by over 200%
• Exceeded 2008 sales goal until announcement of Program closing operations as of 12/31/08
• Led Advisory Group in outgoing sales calls/attempts while capturing the most new Producers to participate with new assets within respective territory (NY, CT, MA, RI, VT, NH, ME, OH, MI)
• Within a short tenure, responsible for prospecting and closing first $10MM Separate account to fee-based program.
• Proactively contact Financial Firms and Registered Investment Advisors (RIA) to develop and maintain strategic relationships to increase sales of fee-based TAMP platform utilizing mutual funds and Separate Account (SMA) management.
• Responsible for territory growth and retention of existing assets as Wholesaler by driving sales via office sales calls, outbound call prospecting, web-based support, sales presentations, independent case design, and relationship management with a consultative approach.
• Actively travel to present training sessions to potential new Producers to Platform.

Confidential, Lyndhurst, NJ

Call Center Financial Planner

• Contractor (F/T temporary) for the Confidential & Confidential Planner Line
• Support clients by providing educated tax and financial planning advice to State Retirement participants on all Pension and Investment plan options and choices available on an individual basis

Confidential, Paramus, NJ

Investment Specialist II

• Cross-sold Advice and Securities trading platforms to internal client database
• Advised clients on Portfolio Consultations for fee
• Identified and gathered assets for potential asset conversion to wrap accounts via selected Money Managers internal/external to Confidential
• Provided account service to client base

Confidential, Pearl River, NY

Financial Advisor

• Invested and managed clients financial goals for retirement, tax-deferral, wealth accumulation, and education funding
• Solicited and procured fresh business contacts via telephone and direct mail to establish new client base for growing book of clients

Confidential, Teaneck, NJ

Financial Advisor/Sales Assistant

• Researched and designed portfolios based on client needs through Asset Allocation models for Principal’s book over $70+ million
• Responsible for significantly increasing Principal's production during 5+ years tenure
• Provided Account Relationship Management as liaison between clients and Regional Director handling brokerage account and Market inquiries, Insurance reviews and processing
• Executed all Stock/Bond trades and price dependent transactions
• Managed Operations between client and custodian (Pershing) on all aspects
• Produced and assembled all sales materials, portfolio updates, presentation kits, and hypotheticals for enhanced sales probability
• Procured, solicited, and maintained clientele for growing personal book

Confidential, New York, NY

Support and Operations

• Responsible for all aspects of operations concerning bond comparisons, corrections, DKs, settlement and pricing
• Generated daily and monthly P/L reports for Municipal Bond Department
• Maintained and balanced bond trading system to general ledger for 8 regional trading offices
• Utilized Bloomberg and Blue List to cover short positions of traders
• Managed trading breaks to reduce interest expense to department

Confidential, Boston, MA

Operations Specialist

• Promoted from Shareholder Services, interfacing with broker/dealer firms in a large mutual funds organization as an internal liaison
• One of two professionals selected for pilot program servicing bank agents throughout nation with fund operations and Bank Trading software
• Performed mutual fund trades, general account maintenance and customer service for two top broker/dealer firms exclusively