I look forward to taking my 26 years of brokerage experience and applying what I have learned to your
firm's model and philosophy, meeting and exceeding client's expectations. The challenge excites me
because of the satisfaction I derive from helping clients and offering solutions to their needs.
Series 3, 7, 31, 63, 65 and Life Insurance
Senior Director/Investments, 01/2006
to 01/2016 Oppenheimer & Co – Stamford,
CT Opened new accounts both in the USA and Europe for high net worth clients. Selected investments based on clients needs, goals and risk tolerance. I also used hedging strategies to mitigate risk away from clients. For a European client, after analyzing clients needs and determining the suitability, client opened a $10 million dollar commodity account. I also maintained conservative income producing portfolio's for retired clients seeking monthly income. Made prospecting calls which led to investment proposals and eventual new client relationships. Also kept close records of all investment decisions and kept clients abreast of all news pertaining to their portfolios. These are some of the characteristics that helped me retain clients for over 20 years.
Senior Vice President/Investments, 01/2001
to 01/2006 First Union /Wachovia – Greenwich,
Vice President/Investments, 01/1992
to 01/2001 Prudential Securities – New York Stamford,
to 01/1990 Financial Advisor/Investments – New York,
Encyclopedia sales person and sales manager, 01/1979
to 01/1988 Collier Encyclopedia
First job out of college: Sold books door to door, $28,000 in first 9 months, $80,000 in last year selling books Managed team of book sales people Sold books in Europe and won top annual sales contest each year with Collier Gained tremendous professional and life skills from this job: self-motivation, strong and positive work ethic, importance of smart and practiced sales approach.