Accomplished Wealth Advisor/Branch Manager with extensive management experience in the financial services industry. Draw upon diverse background to create innovative planning solutions for clients. Excel at helping advisors develop deep relationships with high net worth clients, understanding their goals & dreams in order to create confident guidance for clients in all market conditions. Open to relocation to be closer to family.
Develop wealth management and investment advisory plans to families, small businesses & retirement plans. Successfully transitioned business structure such that 85% of branch revenues derived from discretionary fee-based asset management. Served as the asset manager of record in support of wealth plans, regularly exceeding benchmark return target. Have maintained a strong Compliance standing throughout affiliation with firm. Earned Summit's President's Council status four times.
Owned & developed a full-service branch of four advisors, plus reps in two satellite offices, providing individualized advice programs. Mentored newer reps in transitioning to a fee based business model while deepening client relationships. Grew branch fee-based advisory revenues to $1 million using a disciplined approach to investment strategies in support of overall wealth plan. Risk management protocols substantially blunted the impact of the 2008 bear market, preserving client assets. Earned President's Council status three times.
Successfully completed broker training via E.F. Hutton. Named Branch Product Coordinator for Syndicate, Consulting Services; promoted to Branch Sales Manager in year three of production. Supervised 17 brokers & 8 support staff.
In the interest of full and fair disclosure, additional insights into the Uniform Registration regulatory entries are provided below.
In 2008, lawsuits were filed against Raymond James Financial Service regarding the fraudulent actions of a former client of the firm that was perpetrated against the clients of his insurance agency. As Branch Manager/OSJ, I worked jointly with the firm to defend these lawsuits. Ultimately, each case was settled.
FINRA launched a multi-faceted review of all aspects of this case in 2010. In settlement of its investigation, FINRA offered an Acceptance, Waiver and Consent. Acceptance of the AWC was heavily influenced by the ongoing costs of time, legal fees and emotional stress.
Regarding the reported lawsuits, no findings of guilt or complicity were rendered, nor was participation in financial settlements required. The regulatory suspensions were applied to roles not held at Raymond James, i.e. Principal of the firm. Additionally, the complete industry record continues to reveal no regulatory events prior to, or after, the resolution of these particular matters.
For additional information into these Uniform Registration entries, please contact the local counsel who represented me, shown below:
David M. Cook
Cook & Logothetis, LLC
30 Garfield Place, Suite 540
Cincinnati, OH 45202
Anthony G. Covatta
Frost, Brown & Todd Attorneys
301 E. Fourth St., Suite 3300
Cincinnati, OH 45202
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