Over fourteen years experience in the securities industry as an investment consultant and financial advisor. Over eighteen years experience in the financial services industry.
August 2011 to December 2013
Responsible for building and servicing a book of business. Acquired new clients thru cold calling, existing relationships, referrals, personal contacts, seminars, and networking.
Contacted leads and prospects with a description of benefits derived from a relationship with Merrill Lynch, and my role in establishing and keeping the relationship. Established risk tolerance profile and asset allocation strategy for new clients, selected investments suitable for the client and placed trades. Monitored and changed investments as needed.
September 2010 to January 2011
Responsible for building and maintaining a client base. Acquired new clients by establishing relationships with bank customers to open investment accounts and established investment advisory relationships with clients referred by bankers.
Advised clients on avenues to build and preserve wealth through all types of investments, retirement preparation, insurance, charitable giving, minimizing taxation, trust and estate preparation.
Implemented investment strategies, based on asset allocation best suited for the client, placing all trades, and tracking portfolios.
Worked closely with other divisions, such as personal bankers, mortgage, and lending division, in order to refer clients and/or receive referrals.
Assisted elderly parent- recovering from a stroke November 2008 - August 2010
March 1997 to November 2008
Responsible for growing and maintaining a client base. Grew client list to 385 clients, with assets in excess of $350,000,000.- over a 10 year period.
Developed client relationships thru outbound calls, referrals, seminars, or other organized events.
Guided self directed clients with asset allocation, researching and selecting mutual funds, stocks, bonds, other investment vehicles, and an investment strategy best suited for the client.
Up sold clients to other services such as money managers, trust services, active trader, banking or Private Client services.
Advised clients in the Private Client program on individual securities selection.
October 1989 to January 1996
Functioned as a bank teller and new accounts representative, assisting clients with all aspects of banking transactions.
Processed loan applications and referred clients to investment area as a personal banker.