Financial Sales and Relationship Manager
604 Harmony Lane
Pleasantville, CA 94588
FINANCIAL SALES AND RELATIONSHIP MANAGEMENT
· Proven track record with more than 15 years of experience selling retirement plans and investment services to small businesses and high-net-worth individuals.
· Series 7, 63, 65, and State of Wisconsin Life Insurance licensure. Extensive knowledge of defined contribution, defined benefit, profit sharing, and other retirement vehicles. Detailed understanding of IRS and ERISA guidelines as pertaining to existing and start-up plans.
· Excellent interpersonal and analytical skills. Expert ability to accurately determine needs, understand risk tolerances, offer alternatives to current situations, develop action plans, and cultivate longstanding/profitable client relationships.
· Strong project management skills with attention to detail and ability to ensure smooth plan transitions for clients and plan sponsor.
· Ability to motivate and manage team members.
STIFEL, NICOLAUS & COMPANY – Milwaukee, Wisconsin
2004 to Present
· Provided 401(k) plan consulting services to existing and new small-business clientele with $1 to $20 million in plan assets and 10 to 100 employees.
· Drove sales through new business development, referrals, and existing client relationship management.
· Delivered sales presentations to CEO’s, CFO’s, Human Resource Directors, and Benefits Administrators. Analyzed/assessed needs, prepared retirement plan proposals, and closed sales. Met quarterly sales goals and accurately forecasted future closed sales. On track to deliver $120k in new sales for second quarter.
· Educated Benefits Administrators and employees on various topics including asset allocation and risk reduction to increase participation.
· Assisted clients with plan design, setup, and management of reporting requirements. Provided ongoing support via face-to-face presentations and seminars.
· Initiated and maintained Bill Good Marketing systems.
A.G. EDWARDS – Milwaukee, Wisconsin
2001 to 2004
FINANCIAL CONSULTANT – 401(k) Plans
· Recruited to provide defined contribution plan consulting services to small- and medium-sized businesses.
· Utilized two-pronged marketing approach to increase business from existing clientele and capture new business
WACHOVIA SECURITIES – Milwaukee, Wisconsin
1995 to 2001
Formerly Everen Securities
· Recruited to provide retail investment services to high-net-worth individuals utilizing value-added, consultative marketing approach and two-pronged marketing strategy.
· Identified market opportunity for defined contribution sales and focused efforts on business-to-business selling. Established longstanding small business relationships.
· On track to deliver $325,000 in annual gross sales.
RBC Dain Raucher – Milwaukee, Wisconsin
1989 to 1995
Formerly Dain Bosworth Incorporated
· Recruited to provide retail investment consulting services to high-net-worth individuals utilizing value-added approach and two-pronged marketing strategy.
· Assessed clientele objectives and located independent money managers to meet specific goals.
· Delivered quarterly market performance and investment strategies seminars to existing and prospective clientele.
· Delivered $250,000 in annual gross sales (ranked in top third within branch office).
PRUDENTIAL-BACHE SECURITIES – Milwaukee, Wisconsin
1985 to 1989
· Provided investment consulting and stock trading services to retail clientele.
· Delivered $175,000 in annual gross sales.
SCHOOL OF DENTISTRY (140 Credits Earned)
Marquette University, Milwaukee, Wisconsin
Series 7, Series 63, Series 65 (Registered Investment Advisor)
State of Wisconsin Life Insurance
Investment Management Consulting Association, Member since 1990