Regional Vice President Securities
604 Harmony Lane
Pleasantville, CA 94588
Over 20 years of experience in the securities field. Hardworking and enthusiastic leader who develops strong working relationships and consistently exceeds goals. 7-time winner of the prestigious Prudential Securities Chairman's Club award. Seeking contract position to contribute sales training and expertise to growing company.
Turnaround specialist who refocuses team on selling, personal growth and achievement of specific targets. Expertise in identifying and articulating growth strategies which rely on solid sales and marketing techniques. Enjoys challenge of transforming poorly performing teams and enterprises through intensive training, coaching, listening and leading.
PRUDENTIAL SECURITIES, INC, Orlando, FL
1984 - 2003
REGIONAL VICE PRESIDENT
1997 - 2003
Promoted to develop region with poor and inconsistent results and difficult employees. Creativity and risk taking had not been encouraged in region, and teamwork and communication were non-existent.
• Increased assets from <$700 million to over $2.2 billion within 3 years.
• Led the country in Customer Service scores.
• Met Chairman's Club criteria for exceeding goals in Customer Service, New Account growth and Asset Targets all years: 1997-2003.
• Opened 9 branches, for a total of 26 branches in Florida region.
• Set specific quantifiable business result goals for region with key managers and Sales Director. Developed techniques to improve training and coaching.
• Instituted marketing program to strengthen referral relationships with fee-based Financial Advisors to keep high net worth clients from leaving the firm.
• Resolved personnel issues by working with individuals and reassigning them to positions that better used their talents and met their strengths, and by making tough decisions to eliminate some managers.
• Sent strong message to staff by moving long-tenured manager into new position that tested his skills and had him accept new challenges.
• Redirected routine operational phone calls and transactions to centralized support center. Focused staff on selling, specifically, cross selling and up selling of products and services.
• Developed and implemented a revolutionary Employee Review Panel to award promotions. Method was fairer; it cut down on favoritism and ensured that people were prepared by the time they advanced.
• Invited to become member of the Board of Governors for the Florida Securities Dealers Association.
1994 - 1997
SALES DIRECTOR & TRAINER
Awarded new role that focused on the strategic design and execution of Business Development sales initiatives after Regional Director positions were eliminated in a company-wide restructure. Challenge was to improve results for calling campaigns, promotions, relationship building and special programs, customer retention techniques, and, importantly, sales training and development. High priority went to helping branch managers learn to evaluate skill sets and apply training, coaching and mentoring skills.
Delivered an incremental $80 million in assets due to creation of innovative sales contest that rewarded converting customers to new Active Trader program. Bonus money was allocated to each branch based on successful performance of an outbound calling program.
• Trained 125 salespeople in intensive 3-day Professional Sales Skills (PSS) session from Learning International/ AchieveGlobal. Class sizes ranged from 10-15 participants per workshop.
• Redesigned training sessions to be challenging yet maintain an appropriate pace with humor interspersed throughout program.
• Used strategy of building shyer trainees' confidence slowly while allowing more confident participants to focus on practice and refinement of skills.
• Independent post-workshop survey results showed above average participant satisfaction with training workshops.
• Followed up with PSS students in the field through on-the-job coaching. Visited 20+ offices in 7 states on regular basis to reinforce and enhance classroom training.
1993 - 1994
Promoted to manage the 7 state southeast group. Challenge was to grow the region through sales initiatives, business planning and employee development. Reported to the Regional Vice President and assisted with operations, audit, budgeting, and expense reduction. Directly managed 4 Regional Investment Specialists/Salespeople and 4 remote one-person branches.
• Led 7 out of 8 direct reports to meet or exceed sales goals within one year.
• Created and developed Business Development targets and executional plans for each office, as well as assisting in creation of regional Business Development plan.
• Developed relationships and enhanced personnel performance by traveling to each territory quarterly for one-on-one development time with employees.
• Trained employees to deliver impactful talks through joint presentations that enhanced their selling skills.
• Overcame difficult reporting situation with boss through developing solid relationship and mutual trust.
• Certified to teach the Professional Sales Skills (PSS) program by Learning International through intensive 5-day certification program. Also certified to teach the Professional Sales Coaching (PSC) program.
• Won status as a Platinum Club member for delivering results 200% above goal for New Accounts, Asset Growth and Customer Service.
1990 - 1993
Promoted to this 16-person office. Challenge was to institute Business Development tactics and sales focus along with employee development. Office's focus was almost totally on operations, and employees were rewarded on number of customer phone calls they handled, trades they made or amount of paperwork they processed. Also, office displayed lack of teamwork.
• Shifted reward structure: created new bonus plan that eliminated operational results and recognized Customer Service and Business Development goals.
• Removed call monitoring and statistic-measuring devices to support new strategic focus on service and sales.
• Instituted series of meetings with each employee for 60-90 minutes to discuss goals, dreams and aspirations. Developed trust and rapport to help uncover individual's talents and interests.
• Eliminated or reallocated several personnel not committed to change and growth. New culture did not allow for status quo.
• Hired successful enthusiastic and bright managers who now occupy high level positions within firm.
• Grew number of accounts from 19,000 to over 30,000 in less than 3 years.
• Increased assets from <$600 million to over $1 billion.
• Personally handled clients with assets >$5 million.
• Led office to 3 Chairman's Club victories for exceeding Business Development and Customer Service goals. Also, sole office to reach 1992 asset target 4 months early.
• Nominated twice for Branch Manager of the Year.
1984 - 1990
Hired to interview, hire and train employees to open new branch for company. Handled risk management and fraud prevention by supervising account opening process and check approval. Charged with task of growing branch assets and new accounts through new Business Development focus.
• Selected and trained 2 employees and opened branch in 1984. Eventually grew to staff of 5 who performed complete operational services for customers within the branch.
• Grew accounts from 1,000 opening accounts transferred from other branches to over 10,0000 accounts.
• Increased assets to $300 million through revolutionary focus on both increasing new accounts and getting incremental business from each customer
• Created and implemented the practice of assigning individual New Account targets to staff, to change focus from operational processing to outside prospecting.
• Actively increased referral rates through creating referral program for customers
• Won new Chairman's Award in 1989 and 1990 due to Customer Service scores and Asset growth. Charter member of "200 Club" for delivering results 200% above goal.
• Branch Manager of the Year, 1990.
Previous employment included Representative positions at: Kidder Peabody & Company; Paine Webber Jackson & Curtis; Bache, Halsey, Stuart, Shield and Rochester Savings Bank.
TRAINING, EDUCATION & LICENSES
Learning International Group - Professional Sales Skills (PSS) & Professional Sales Coaching (PSC)
Dale Carnegie - Public Speaking Course
Terry Pearce - Leading Out Loud
Tom Peters Group - Leadership Challenge
University of Rochester - B.A. in Business
New York Stock Exchange - Series 6, 63, 3 and 24 licenses