Wealth Management

My Wealth Management Experience

Pacific Income Advisers

• Vice President/Regional Director

• Dates EmployedJan 2013 – Dec 2016

  • Marketed the firm’s fixed-income SMA suite and open-end mutual funds to financial consultants/advisors at wirehouse branch offices, RIA, and institutional consultants throughout a designated territory utilizing wirehouse plan sponsor and turnkey asset management programs (TAMPs).
  • Established new long-term relationships with financial consultants, as well as strengthening existing financial consultant relationships.
  • Effectively prepared and presented the firm’s top-rated products and value-added topics to large group presentations and one-on-one meetings with financial advisors/clients.
  • Developed a marketing plan to utilize various strategies to achieve stated short/long term goals and objectives.
  • Provided excellent service to financial consultants and their client’s accounts to maintain deep relationships and generate incoming asset flows.
  • Effectively communicated as liaisons between different internal departments to fulfill consultant/client needs and reporting requests.
  • Developed and maintained a high level of expertise related to the capital markets, investment management industry, and marketplace developments.
  • Communicated effectively via phone, email, and in-person information regarding the overall financial markets, particularly the fixed-income market. In addition, communicated firm investment discipline with a deep understanding of the portfolio investment philosophy and process.
  • Complied with all regulatory requirements. see less

• Associate Vice President, Associate Director

  Dates EmployedFeb 2003 – Dec 2012

  • Partnered with Managing Directors/Regional Directors to develop each region's short and long-term goals and objectives. Co-developing key investment consultant relationships with wirehouse channels - Wells Fargo, Morgan Stanley, UBS - and RIA and independent consulting channels to generate asset inflows of SMA and mutual fund products.
  • Conducted proactive outbound sales & service initiatives to raise awareness of the firm product offerings and build critical solid long-term relationships.
  • Strategically managed all activities in the territory through business plan implementation contributed by Managing Director/Regional Director and myself, including follow through and follow up on tasks and ongoing deliverables.
  • Assisted multiple Managing Directors with the day-to-day administration of accounts, including preparing presentation books and marketing pieces, client reports, Excel spreadsheets, etc.
  • Worked as a liaison with Portfolio Managers, Analysts, Operations, and Administrative staff in a team environment to leverage firm resources to provide the highest quality of service to clients such as preparing portfolio reviews, market updates, client account reporting, fulfilling client requests, and other unique, timely research/marketing pieces to increase firm success.
  • Communicated effectively via phone, email, in-person meetings information regarding the overall financial markets, particularly the fixed income market, and addressed any questions or concerns of the client/prospect.
  • Created and reported customized attribution reports, including firm products, portfolio characteristics, performance analysis, and risk measures for meetings with new prospects and existing clients.

Kayne Anderson Rudnick

• Investment Consultant

Dates EmployedJun 2002 – Dec 2002

• Made proactive/reactive calls to financial advisors to find solutions, share sales ideas, product information, and raise assets under management utilizing firm products and services.
• Maintained and developed new and existing relationships with Financial Advisors to identify sales opportunities and increase sales in a given territory.
• Worked with a partner, outside wholesaler, to coordinate meetings, seminars, and events with advisors.
• Effectively communicated with advisor’s product and industry knowledge regarding the equity markets.
• Complied with all regulatory requirements.

Shuster Financial Group

• Investment Management Associate

Dates Employed Nov 2001 – Jun 2002

• Conducted statistical and competitive research and analysis on mutual funds, collective investment trusts, separately managed accounts, and mandates for client asset allocations.
• Utilized industry publications, industry databases, internal proprietary databases, and additional internal resources as needed to compile research
• Prepared business-related presentations for individual and group (401k allocation) client meetings by presenting designated client allocations and investment choices.
• Monitored and re-balanced client portfolio allocations based on client goals and risk tolerance.
• Provided high-level value-added client service to High Net Worth individuals and retirement plans.
• Supported lead financial advisor and marketing representatives.
• Developed relationships with distributors and registered representatives.
• Complied with all regulatory requirements.

Merrill Lynch

• Financial Consultant

Dates Employed Feb 1999 – Jul 2001

• Provided a high level of individualized, comprehensive brokerage financial services and investment strategies to various clients to achieve short and long-term financial/retirement goals.
• Consulted with clients on investment strategies based on client profile, risk tolerance, asset allocation, and investment goals and objectives.
• Grew book of business by identifying value-added products and services for clients.
• Managed and gathered assets of High Net Worth clients, both at the firm and assets held at outside firms.
• Prospected, networked, and acquired clients through various methods and strategies.
• Provided financial analysis of current/forecasted market and economic conditions.
• Monitored client accounts based on client needs and goals established through client meetings
• Researched financial data regarding economic and company-specific information.
• Established and cultivated relationships with new clients and proactively helped to resolve issues and concerns.
• Complied with all regulatory requirements.