Senior Investment Advisor Resume New York, NY - Hire IT People

SUMMARY:

16 years experience in financial services.
Thorough knowledge of investment products including alternatives and fixed income.
8 years experience in direct sales and marketing financial products.
Other Interests: Mathematics, AI, Machine Learning and Behavioral Finance.

PROFESSIONAL EXPERIENCE:

Confidential

Senior Investment Advisor

Responsibilities:

Boutique investment bank and private brokerage firm focused on capital raising of debt and equity to microcap and emerging growth companies within the biotech, media and technology sectors.
Creation and implementation of RIA business development for domestic and international client acquisition utilizing centers of influence and referral marketing program - Professional Alliance Program for domestic COI’s; Foreign Finder Program for international clients.

Confidential

Portfolio Manager/Investment Advisor

Responsibilities:

Full service independent retail and institutional brokerage firm. Customized asset management and portfolio design services and implementation.
RIA business development utilizing Envestnet investment advisory platform with NFS (National Financial Services - Fidelity) as custodian.

Confidential

Financial Advisor

Responsibilities:

Global Wealth Management for retail and middle market clients. Managed both domestic and offshore relationships including sales and trading of both equity and fixed income products. Completed Portfolio Manager non-discretionary training program for asset allocation model management.

Confidential

Financial Advisor

Responsibilities:

Accepted an offer to join Confidential ’s professional development management program for licensed financial professionals.

Confidential

Financial Advisor Associate

Responsibilities:

Joined Confidential ’s Global Wealth Management Group’s Reach for Excellence Program for licensed financial professionals.

Confidential

Investment Adviser Representative

Responsibilities:

Moved affiliation to a well known financial services group through an ING wholly owned independent broker/dealer as a means to continue to build and grow a satellite office by utilizing ING’s brand image and wide product offerings. Responsible for office management and operations.

Confidential

Financial Consultant/ Corporate Investment Adviser Representative

Responsibilities:

Joined an independent broker/dealer as team member to establish a satellite OSJ office in the Financial District. Responsible for office set up, management and operations.

Confidential, New York, NY

Financial Advisor Trainee

Responsibilities:

Financial Advisor in two year training program holding Series 7, 63, 65 licenses; New York and New Jersey State Insurance licensed for Life, Accident & Health.
Emphasis was directed on developing relationships with semi-affluent individuals, small to mid-sized air/ocean transportation companies and import/export firms.
Investment recommendations included individual managed accounts, equities, fixed income and insurance products.
Marketing activities included cold calling, referral based marketing, networking activities, by-lined article submission in local publications, and educational seminars.