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Associate Wealth Management Advisor Resume

Albany, NY


Experienced financial professional, in a field demanding a high level of attention to detail, the ability to make quick correct decisions, and efficiently prioritize the limited time in the work day. Proven track record handling stress, time prioritization, client interactions and relationships, and understanding/executing highly detailed transactions.


Associate Wealth Management Advisor

Confidential, Albany, NY


  • Analyzed financial information to produce forecasts of business, industry, and economic conditions for use in investment decisions
  • Monitored fundamental economic, political, and corporate developments through the analysis of information obtained from financial publications and services, investment banking firms, government agencies, trade publications, company sources, and personal interviews
  • Interpreted data affecting investment programs, such as price, yield, stability, future trends in investment risks, and economic influences
  • Conducted client meetings building & presenting financial plans to initiate sales opportunities

Brokerage Specialist

Confidential, Charlotte, NC


  • Client interaction on account questions & recommendations; update account information as needed; troubleshoot technical issues; provide product and service literature in a call center environment

Financial Associate

Confidential, Hickory, NC


  • Provided advice to individuals and families to invest and plan for major financial events while promoting tax efficient strategies for passing wealth to heirs
  • Worked closely with churches and charities to promote investment knowledge while inspiring generosity and promoting community involvement
  • 8 years leading the Relative Value Trading team of 4 junior traders and desk assistants
  • Lead the transition from Oppenheimer to Confidential
  • Directly responsible for all specialized Relative Value Trading; monitoring and reacting to market prices, liquidity, relative strength, and standard deviation (Z - score) analysis while communicating with institutional clients
  • Execution through various ratio trading and algorithmic trading systems
  • Researched, proposed, and executed new trading strategies, opportunities, and hedges with institutional clients while implementing changes and streamlining processes to maintain and increase our client base
  • Monitored relative discounts/premiums, ratios, and real-time standard deviations of over 200 CEFs and ETFs for statistical variance and trading opportunities
  • Designed, coded, tested, and maintained Excel models for standard score analysis, ratio valuation, and discounts/premiums to each fund's real-time Net Asset Value
  • Participated in resource planning, compensation and incentives, setting up roles and responsibilities, the hiring and on-the-job of Junior Traders
  • Proposed responsibility matrix and organizational structural improvements for streamlined timesaving, repeatable, trading preparation processes
  • Technology and disaster-recovery lead for the Branch

Institutional Sales Trader

Confidential, Boca Raton, FL


  • Primary responsibilities were entering, executing, and recording domestic equity trades as well as settlement/operations - liaison between the Florida and New York trade desks

Equity Trader

Confidential, Boca Raton, FL


  • Primary responsibilities were entering, executing, and recording domestic equity trades routing through the Moxy OMS - trade execution utilizing Confidential Floor Brokers, B-Trade, and World Trader

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