Career Summary

 

Twenty six years progressive experience in the financial industry including varied assignments in portfolio management, client acquisition, estate planning, retirement services, insurance, as well as equities and options trading, which have added value to the services provided by the firm.

 

Professional Licenses

• SERIES 7 REGISTERED REPRESENTATIVE

• SERIES 65 UNIFORM  INVESTMENT ADVISOR

• SERIES 63 State Uniform Securities Agent

• SERIES 4 REGISTERED OPTIONS PRINCIPAL

• New York State Life, Accident and Health Insurance License

• Notary Public New York City

 

Professional experience

 

2007 – Present      TIAA-CREF                                                              New York, New York

Wealth Management Advisor, Wealth Management Group

Primary point of contact dedicated to providing quality, personalized advice and comprehensive financial planning. Collaborate with other financial planning professionals to deliver financial solutions through a consultative process based on the unique needs of each investor by utilizing Ibbotson asset allocation modeling.  Deliver personalized solutions based on sophisticated statistical modeling utilizing linear as well as Monte Carlo probability analysis.

 

2001 – 2007      J. P. Morgan Chase Bank Inc.                                   New York, New York

Vice President Banker, Personal Financial Services

Maintain a portfolio of high net worth clients with investable assets ranging from five hundred thousand to thirty million.  One of three bankers who initiated a program to serve affluent clients, Preferred Financial Services, which has expanded to over five hundred representatives.  Responsibilities include detailed profiling and needs analysis to expand and fortify relationships with high net worth clients, as well as develop new relationships through referrals.  Partner with various specialty departments in the organization to provide a complete and holistic approach to financial planning.   

 

1997 – 2001      CSFBdirect Inc. ~ (Formally DLJdirect Inc.)            Parsippany, New Jersey

Financial Relationship Manager, Preferred Client Group

Managed relationships with high net worth clients.  Established customer relationships to facilitate asset gathering from both existing client base and new client acquisition through marketing events across the country.  Handled trades for active investors, which include complex options strategies and larger size equity orders to provide more alternatives for client investment needs.  Assisted and trained less experienced representatives with trade processing to increase productivity.

 

Investor Services Representative, Investor Services

Processed equity orders for timely execution, which included calculations and confirmation of orders from clients.  Managed a variety of transactions for investment accounts, including trades in equities, options, mutual funds, bonds and other securities.  Responsible for investigating trade disputes, processing order flow, margin calculations, and solving Internet and technical issues.

 

1995 – 1997         Pershing Inc.                                                           Jersey City, New Jersey

Subscription Products Representative, Retirement Services

Worked with private placements, subscription agreements and limited partnerships by coordinating with the associated companies and General Partners.  Coordinated the purchase of other investment products such as equities, corporate bonds and municipal bonds. Generated weekly financial reports for upper management.

 

EDUCATION

 

HIGH POINT UNIVERSITY                                                                    High Point, North Carolina

Bachelor of Science in Business Administration

• Concentration in Economics and Marketing

• Lambda Chi Alpha Fraternity

Alumni Chair - Liaison between alumni and the student body.

 

 

FAIRLEIGH DICKINSON UNIVERSITY                                                   Teaneck, New Jersey

•  Financial Planning Certificate Program

 

 

Skills

 

Strong interest in economics outside of the workplace including personal trading in the foreign exchange markets through the study of various technical analysis disciplines.  Excellent research and analytical skills.  Completed Morningstar Investment Review Training in April of 2010.  Advanced level of proficiency in Microsoft as well as other CRM related applications.  Completed continuing education courses in Microsoft Office applications. Completed the Achieve Global Professional Selling Skills program and Cannon Financial Sales certification.