Highly-accomplished and detail-oriented business professional successful at attaining sales goals with 27+ years experience in the Financial Services industry with a clean FINRA U-4. 14+ years experience Wholesaling Alternative Products (primarily Reg. D offerings) in the BD, RIA, Bank, Family Office & Institutional channels. Possess outstanding interpersonal, analytical, presentation and organizational skills. An effective and successful National Sales Director & External Wholesaler. Territory covered - Southeast US with primary emphasis on Florida. Excellent Key Account Management & Business Development skills & experience. Successful at developing relationships and recruiting Financial Advisors and Insurance Agents to offer financial products to their clients.
Independent External Wholesaler. Investment products & funds represented: Various Mutual Funds, Annuities, Life Insurance products, Hedge Funds & many Reg. D Private Placement Offerings. Focus on the BDs, Banks, RIAs, Family Office & Institutional channels of distribution. Duties: Responsible for negotiating selling agreements, territory sales & wholesaling of various financial products. Consistently exceed annual sales goals. Raised in excess of $1.21 billion for all financial product lines as of 9/23/2016. Extensive relationships throughout Southeast US territory. Large network of Producing Financial Advisors in all distribution channels. Attend industry conferences. Travel 90% annually throughout Southeast US & major metros across the US. Represented Hartman Real Estate Funds, Mammoth Equities Real Estate Funds, NetREIT Funds, Healthcare Properties Funds, Two Oaks Mutual Funds, Tricoastal Hedge Funds, Mainstay Healthcare Properties Funds, Cantor Real Estate Funds, Wheat Capital Real Estate Funds, Bayshore Debt Hedge Funds.
Responsible for territory sales & wholesaling of various financial products in various distribution channels, including Banks, RIAs, BDs, Family Offices & Institutional Investors. Consistently exceeded territory sales goals. Primarily wholesaled Alternative Investments via Reg. D offerings). Solicited Insurance Agents & Financial Advisors to offer financial products to their clients. Assisted with obtaining Sales Agreements. Assisted Financial Advisors with closing sales as necessary. Trained Financial Advisors & Insurance Agents regarding financial products. Traveled 90% of the year within territory - Southeast US & Puerto Rico. Attended industry conferences. Responsible for management of territory budget. Employed by Aegon Transamerica.
Profiled and analyzed investment products to develop customized financial strategies for clients\' financial needs. Sold financial products including stocks, bonds, mutual funds & annuities. Interviewed clients to determine current income, expenses, insurance coverage, tax status, financial objectives, risk tolerance and other information needed to develop a financial plan. Consistently exceeded sales goals. Recommended investments and investment timing to companies, investment firm staff and the public.
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