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Independent Financial Advisor / Planner; Small Business Owner Resume

Ontario, OH


  • Independent Financial Advisor experienced in financial sales, prospecting/marketing and client service
  • Experienced in helping clients and small businesses develop financial plans and meet financial goals
  • Managed external client relationships while consulting and worked with large groups of senior executives
  • Senior Business Analyst Lead with over ten years of financial strategy and implementation.
  • Extensive experience with business process reengineering and change management
  • Strong communicator with project management, team leadership, and critical thinking, skills
  • Experienced with requirements analysis, functional and technical design, system testing


Licenses: Series 7, Series 66, Life, Accident, Health Insurance Licenses; CFP in process

Financial Planning Software: EISI Profiles Professional, MoneyGuide, Money Tree

Customer Relationship Management (CRM): Act, Junxure

Microsoft Office: Access, Excel, PowerPoint, Project, Outlook, Visio, Word

Business Intelligence: Hyperion (Brio), Business Objects, Crystal Reports

SQL Tools: Teradata’s WinDDI and Queryman; Embarcadero Rapid SQL, Oracle

Requirements: Rational Product Tool Suite, RUP and UML; Mercury Quality Center

Testing: Empirix Automated Testing, Rational Robot Testing, Mercury Test Director


Confidential, Ontario, OH

Independent Financial Advisor / Planner; Small Business Owner


  • Sole proprietor responsible for creating, building and managing client book of business
  • Grew new business from $0 and no clients to roughly 150 clients and $20M in AUM
  • Implemented 8 401k plans (100employees, roughly $6M) including conversion of existing plan, fund selection and managing participants’ investment allocation
  • Utilized equities, ETFs, mutual funds, annuities (fixed, indexed, variable), life insurance (term, whole life, variable universal life), long term care, disability insurance and business overhead insurance, deferred comp and qualified retirement plans to meet complete needs of client situations
  • Skilled at analytical research of equities and mutual funds and providing asset allocation advice
  • Successfully managed book of business of $20,000,000 without losing any clients
  • Successfully negotiated and closed a book of business acquisition and retained 96% of clients
  • Defined target and niche markets and built successful marketing plans utilizing various media
  • Experienced in holding client appreciation events and educational events for prospects
  • Experienced in cold calling, direct mailing, prospecting and closing sales with potential clients
  • Conducted complex financial planning and limited estate planning in financial planning software
  • Managed independent business’ income, expenses, taxes and prepared individual client tax returns
  • 100% clean FINRA broker report

Confidential, Columbus, OH

Business Analyst Lead / Project Manager


  • Developed application responsible for over 200K asset records with a NBV of $265M NBV
  • Project Manager for all quarterly releases of AIMS including development of project plan, definition of scope, project financials, projected ROI, and project approval process.
  • Instrumental in developing requirements for cost savings initiatives, specifically maintenance and port capacity projects resulting in an annual green dollar savings of $11M.
  • Responsible for all phases of requirements including identification, creation, UAT coordination, facilitation of prioritization, and defect resolution in Quality Center.
  • Developed various ad - hoc metrics and canned Crystal Reports utilizing Business Objects which automated the schedule and delivery of reports for presentation to all management levels.
  • Led a monthly Asset Management forum of approximately 60 participants across LOBs.
  • Created MS Access database that help achieve 90% reconciliation to SAP Fixed Asset system.
  • Managed testing phases, resolution of defects, and facilitated UAT.
  • Responsible for system demos with cross-functional teams and Senior Management.
  • Selected to travel to New York for analysis of Hewlett Packard proposed GTI software solution.
  • Collaborated with intra-departmental end-users on system requirements and process methodology.

Confidential, Cincinnati, OH

Business Analyst / Team Leader


  • Responsible for identifying / re-engineering business processes of AF budgeting and procurement.
  • Obtained functional requirements by interviewing Air Force personnel and holding JRP sessions
  • Defined and maintained project scope and workplans while serving as the requirements lead.
  • Designed application utilizing RUP / UML and validated designs by leading end-user JAD sessions
  • Lead a team of 15 resources in the effort to replace numerous legacy systems.
  • Served as the central point of contact for all communications with the customer.
  • Selected to present the new system at a conference involving 75 customers and end-users.
  • Leveraged the Rational products to create functional use cases, analysis model, functional and technical designs, test plans, and manage defects.
  • Served as test lead in charge of managing test team and leading all phases of software testing including unit, assembly, product, regression, and user acceptance testing.
  • Assessed current trade order management processes and systems in order to determine the client’s ability to reach T+1/STP within the securities industry timeline.
  • Interviewed personnel involved in order generation, trade execution, and settlement.
  • Identified gaps and recommended process improvements for the trading/settlement process.
  • Gained exposure to insurance industry’s asset-to-liability matching and fixed-income trading.
  • Presented results of T+1/STP assessment to Aegon senior executives
  • Defined all possible trading and mutual fund cloning scenarios based on business processes of equity traders and portfolio managers.
  • Validated requirements of Fidelity’s core trading applications: Order Management Tool, used for all trading activities; and Cloning Management Tool, used by PMs to clone specified mutual funds
  • Developed deep understanding of equity trading activities and mutual fund management.
  • Designed, documented, and validated various daily and monthly portfolio and compliance reports.

Confidential, Mansfield, OH

Commercial Lending Intern


  • Performed credit screening and analysis of commercial loan applications.
  • Utilized accounting ratios and pro forma financial statements in underwriting loan applications.
  • Managed the commercial lending pipeline, tracking loan activity against portfolio thresholds.
  • Measured allowance for future loans by comparing the bank’s current and targeted risk levels.

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