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Senior Financial Advisor Resume Example

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SENIOR FINANCIAL ADVISOR
Skill Highlights
  • Life and Health, Property and Casualty Licenses (AR, CA, KS, MO, MS, NC, TX)
  • LUTC- Life Underwriter Training Council
  • Merrill Lynch Personal Advisor (MLPA) Advisor - non-discretionary investment management and trading platform
  • Personal Investment Advisor (PIA) Advisor- discretionary investment management and trading platform 10/2009 Merrill Lynch Wealth Management Workstation, Thomson, and Dow Jones Newswire
  • Microsoft: Office Professional ( Advanced Excel )
  • Database software: Excel and Access
  • Presentation software: PowerPoint
  • ACT / Goldmine / Microsoft Outlook / iphone
  • Profiles Professional Financial Planning Software
  • Investment Tracker Account Management Software
  • eEssentials Training program / Market Match System
Core Accomplishments
  • High End Sales ability to Advanced Markets, knows how to ask for the "Big Ticket" Industry Activities and Awards: Merrill Lynch Merrill Lynch Practice Management Development Program; Graduate, Jersey City, NJ, 2009.
  • Numerous Industry and Company Incentive Conference/ Trip Qualifications GAMA: Management and Leadership Conference; Graduate, Los Angeles, CA, 2007.
Professional Experience
Senior Financial AdvisorOct 2007 to Sep 2013
Company Name － City, State
  • to clientele providing investment advice, recommendations, and financial planning using the Total Merrill platform.
  • Formulate and conduct marketing strategies to develop and enhance client relationships.
  • Profiling activities to analyze and determine client's financial resources, needs, and objectives.
  • Formulate strategies to meet client objectives.
  • Advise client on financial strategies including appropriate financial transactions, and the purchase and sale of financial products.
  • Implement solutions agreed by client.
  • Review progress toward client goals and objectives.
  • Strictly adhere to compliance and industry regulations.
  • Prospecting meetings and activities to develop new client relationships and identify qualified leads.
  • Planning and management of resources ( time, people, budget ) to run a productive practice, on both a day-to-day and long term plan.
  • Seeking the expertise of specialists, where appropriate, to identify planning and investment strategies for a client.
  • Implementation of a client specific investment policy statement adhering to Merrill Lynch analyst research, and other independent sources.
  • Estate Planning and implementation of tax strategies with clientele integrating tax attorney and CPA involving legacy and wealth accumulation.
  • Business planning regarding corporate structure and the 401K, deferred comp, SEPP, SIMPLE, and buy-sell agreement.
  • Retirement planning and analysis calculating client's retirement income including social security, pension, both qualified and non-qualified sources.
  • Insurance product knowledge and implementation in areas such as variable and survivorship life insurance, disability, health, and Long Term Care.
Agency DirectorDec 2004 to Oct 2007
Company Name － City, State
  • primary responsibility, recruit, coach, teach, train, lead, develop, and retain a unit of successful Financial Advisor's.
  • The activities are driven by the Business Plan of the Firm and with MetLife business planning objectives.
PrincipalAug 1995 to Dec 2004
Company Name － City, State
  • Recruiting: Recruit FA's to MetLife and guide applicants through the selection process.
  • Understand and meet diversity and recruiting objectives, as articulated in the Firm's Business plan.
  • Performance Management: Manage, develop, and coach FA's.
  • Requires active management of FA's, which includes joint sales calls and regular meetings, and ISPC's.
  • Develop a performance plan with each FA, which specifically addresses development needs, production requirements, appointments and sales expectations.
  • Each plan reflecting the Firm's overall goal.
  • Compliance: Maintain an ethical and professional work environment.
  • Ensure FA compliance with MetLife's good business practice processes.
  • Enforce compliance rules and guidelines and partner with senior management, compliance and legal as appropriate.
  • Act as a supervisory registered representative when managing a registered detached site and fulfill all obligations to that role.
  • Professional Development: Maintain knowledge of current products.
  • Stay up-to-date on MetLife policies, systems, tools and with Industry trends regard field management best practices.
  • Participated in company-sponsored management and leadership development programs.
  • Complete continuing education requirements to maintain licenses.
  • Obtain professional designations and NASD registrations, as required.
  • Ability to demonstrate sales proficiency and teach FA's how to sell.
  • Possess problem solving, management, leadership, communication, interpersonal and coaching skills.
  • Knowledge of NASD/SEC compliance regulations and policies and ability to apply MetLife specific policies and procedures appropriately.
  • General knowledge of employment laws and ability to seek guidance from human resources and legal business partners as necessary.
  • Ability to deliver and facilitate the training of prospecting and selling systems, and presentations to large groups.
  • Ability to learn marketing systems, methods to identify markets and ability to provide direction to FA's to identify markets.
  • Learn operation processes and oversee major transactions.
  • Manage customer relations in regard to a very large book of business for the region, including all MetLife Products, especially Annuities, and Brokerage Accounts Life, Health, Disability, Property and Casualty Insurance Agent Financial Advisor to clientele involving, retirement, disability, health, life insurance, and annuity accounts and services Manage and grow a Multi-Million dollar Property and Casualty book of business Develop and implement marketing strategy for new business Implement and Maintain a referral based practice Provide assistance with product analysis Coordinate and manage office duties with staff Sales Seminars to Groups.
Education
Bachelor of Science, Biomechanics / PhysiologyUniversity of Arkansas － City, StateBiomechanics / Physiology
Sports Medicine/ Wellness Management) *Series 7 and 66 (AR, CA, KS, MO, MS, NC, TX)
Interests
Rotary Club 1995-2015- active member with perfect attendance record 2007-2015 Springdale Chamber of Commerce, President- Leadership Council Board Committee-2007 Leadership Springdale Class X- President-2004 Rotary Club of Springdale Board Member-2005 to 2007, 2009 to 2011 Rotary Youth Leadership Achievement Chairman for Springdale Rotary Club-2004-2005 American Cancer Society Relay for Life Volunteer -2004 Children's House Volunteer- 2003 Saline County United Way Vice President- 2001 Rotary Club of Benton- Community Service Chairman-1996-1998 Eagle Scout Advancement Chairman- Ouachita Area Council- 1996-1999 Toastmasters International- 1993-1994 First Baptist Church of Springdale- Usher/ Greeter Children's Safety Center Volunteer -2004
Professional Affiliations
Northwest Arkansas Chapter of the National Association of Insurance and Financial Advisors- President Elect- 2005; Board member 2003-2005
Additional Information
  • Community Activities and Awards: Rotary Club 1995-2015- active member with perfect attendance record 2007-2015 Springdale Chamber of Commerce, President- Leadership Council Board Committee-2007 Leadership Springdale Class X- President-2004 Rotary Club of Springdale Board Member-2005 to 2007, 2009 to 2011 Rotary Youth Leadership Achievement Chairman for Springdale Rotary Club-2004-2005 American Cancer Society Relay for Life Volunteer -2004 Children's House Volunteer- 2003 Saline County United Way Vice President- 2001 Rotary Club of Benton- Community Service Chairman-1996-1998 Eagle Scout Advancement Chairman- Ouachita Area Council- 1996-1999 Toastmasters International- 1993-1994 First Baptist Church of Springdale- Usher/ Greeter Children's Safety Center Volunteer -2004
Skills
Account Management, analyst, product analysis, Analytical skills, AR, attorney, book, budget, Business Plan, Business planning, Business plans, coach, coaching, interpersonal, CA, Council, CPA, clientele, client, customer relations, Database software, direction, senior management, financial, Financial Advisor, financial planning, Financial Planning, Goldmine, human resources, Insurance, investment management, investment strategies, team building, Leadership, leadership development, legal, managing, marketing strategies, Marketing strategy, marketing, Market, meetings, Access, Excel, Office, Microsoft Outlook, PowerPoint, Organizational, Performance Management, policies, presentations, problem solving, processes, progress, Recruiting, research, selling, Sales, sales and management, Seminars, supervisory, tax, Underwriter, verbal Communication, Wealth Management
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Resume Overview

School Attended

  • University of Arkansas

Job Titles Held:

  • Senior Financial Advisor
  • Agency Director
  • Principal

Degrees

  • Bachelor of Science , Biomechanics / Physiology
    Sports Medicine/ Wellness Management) *Series 7 and 66 (AR, CA, KS, MO, MS, NC, TX)

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