Registered Investment Advisor Resume Samples

Description :

1. Serviced and managed fund portfolios that are currently winding down (Successor-in-Interest to New Stream Capital Services, LLC) Human Resources Director Established HR Department from the ground up to implement HR standards and compliance, revamped employee handbook and introduced performance management system.
2. Managed recruiting process from sourcing to hiring for all levels within the organization; direct all new hire orientations, follow up and exit interviews.
3. Provided current and prospective employees with information concerning company policies, job duties, working conditions, wages, compliance and opportunities for employee benefits and promotion.
4. Partnered with senior executives, managers and individual employees on delivering pro-active HR solutions to meet strategic business needs.
5. Administered employee benefits including health and welfare, flex plans, 401k, and disability; manage benefit rollouts, open enrollment and benefit communications.
6. Coordinated all on-going staff development training.
7. Performed employee relations interviews and design solutions for arising issues.

Experience

5-7 Years

Level

Executive

Education

GED

Description :

1. Met and serviced new and existing clients in the Madison and No.
2. Presented portfolio options and design retirement plans through analysis and communication.
3. Created and implemented a recruiting plan for the firm.
4. Created and implemented various seminar presentations for Corp.
5. Drived and supported the performance management process by ensuring that goals are set, performance is evaluated consistently throughout the organization and that the annual Review Process is executed with success.
6. Performed HR services to all underlying clients that house employees and require advanced human resource expertise.
7. Responded to routine inquiries from portfolio managers.

Experience

5-7 Years

Level

Executive

Education

G.E.D

Description :

1. Generated new accounts through direct sales techniques mainly door-to-door prospecting and referrals.
2. Obtained Broker Dealer's license- series 7.
3. Worked in conjunction with assigned internal wholesaler to identify and foster leads generated from referrals, ad campaigns and territory canvassing 2.
4. Handled fee-based financial planning and portfolio rebalancing for new prospects.
5. Arranged periodic meetings and conference calls with clients and investment consultants to review the assigned portfolio, investment guidelines, fund objectives and investment process.
6. Recommended investment products and services that were suitable for prospects and clients based on their objectives, resources, time horizon, risk profile and preferences.
7. Researched various funds, stocks and mutual funds, EFTs, GO bonds and other securities using Morningstar, Bloomberg, Pershing and NASDAQ aftermarket hours.

Experience

5-7 Years

Level

Executive

Education

MS

Description :

1. Completed performance verification by Ashland Partners till 06/30/2016 to make sure our performance calculation met all requirements as per GIPS manual.
2. Responsible for Composite maintenance, reviewing and troubleshooting performance return, reach out to appropriate party to fix the error, and show accurate data for individual accounts and composite as well.
3. Responsible for all daily and monthly data download/update (i.e. Benchmark values, prices, dividend, interest, corporate action, cost basis, etc.).
4. Implemented a checklist to verify all important data points to increase the efficiency of performance calculation.
5. Completed project to upgrade Advent APX and Moxy 14.1 from APX 2.0 and Moxy 6.0.
6. Managed relationships with all third-party vendors such as Wealth site reporting, Telemet real-time pricing, Factset extract to interface with Advent APX & Moxy, and System (IT Provider).
7. Assisted in other manager research activities as required.

Experience

5-7 Years

Level

Executive

Education

BS

Description :

1. Researched and Portfolio Assistant.
2. Worked closely with client portfolio managers to communicate equity strategies, research market trends, and support client requests.
3. Produced quarterly profiles, attribution reports, and other research materials.
4. Organized conference calls, and periodic performance reviews for clients.
5. Prepared drafts for portfolio commentary and manager reviews.
6. Assisted in gathering fund research.
7. Assisted in researching and analyzing benchmarks.

Experience

5-7 Years

Level

Executive

Education

MS

Description :

1. Managed Director, Investment PaineWebber - Vice President, Investments First of Michigan - Vice President, Investments Became a top producing Registered Representative with over $300 million of assets under management and a peak of $5 million annual revenues.
2. Developed a software program and built a team to handle as many as 2,000 transactions per day.
3. Worked independently and became the largest producer at R.W.
4. Interviewed clients to determine the financial position, resources, assets available to invest, and financial goals.
5. Provided clients with investment advice based on knowledge of the securities market and financial services industry.
6. Provided world-class customer service to retail wealth management clients.
7. Assessed suitability and advise clients in making appropriate investments.

Experience

5-7 Years

Level

Executive

Education

BBA in Accounting

Description :

1. Built financial planning, insurance, and accounting firm, from zero clients and zero assets under management (AUM) to 600 clients and $500 million AUM.
2. Developed 1600 accounts both corporate and high net worth with $500 million AUM in ten years.
3. Responsible for 33% of the firms' annual revenue.
4. Administered benefit plans 401(k), Life, and variable annuity products.
5. Communicated vast amounts of information with other operating departments.
6. Boldly served as the company representative at all corporate events.
7. Performed administrative duties to support departmental management.

Experience

10+ Years

Level

Senior

Education

MS

Description :

1. Founded fee-based registered investment advisory firm to construct and manage investment portfolios for individual and corporate clients.
2. Actively managed client portfolios by following a logical, organized, and disciplined approach to the market, combining technical and fundamental analysis.
3. Consulted with clients to establish and implement financial plans and goals to include retirement planning, expense/tax reduction strategies, college education planning, and major purchases.
4. Partnered with ETF provider iShares to provide continuing education seminars for certified public accountants.
5. Seminars were conducted in alliance with Red Mountain Bank, a small, community-based bank focusing on the needs of high net worth clients.
6. Set up and maintained the custody of client accounts with FOLIOfn Investments, a state-of-the-art, next-generation portfolio management tool.
7. Self-taught the Point and Figure method of technical analysis.

Experience

2-5 Years

Level

Junior

Education

BA

Description :

1. Gathered essential client information for financial analysis, prepare and present personal/business plans tailored to reach the client's financial goals, needs, and wants.
2. Identified, presented, and secured investment and insurance products targeted to accomplish plan outcomes.
3. Promoted to Branch Manager.
4. Developed a business with over $12 million in assets under management.
5. Subscribed to Dorsey Wright & Associates for charting and analysis of markets, sectors, and individual stocks and funds and Standard & Poors for fundamental analysis.
6. Recommended financial components that fit the corporation's capital structure, including; asset-based financing, debt, equity financing, and investment banking options.
7. Assisted clients in placing trades in all the major stock exchanges.

Experience

5-7 Years

Level

Junior

Education

BS

Description :

1. Provided portfolio management to individuals and businesses to assist them with building wealth and protecting assets by establishing a solid foundation of investments that will stand the test of time and lead clients to reach their financial objectives.
2. Created a wealth-building model based upon a Foundation of Values (vision, service, integrity, enrichment, commitment, and risk management).
3. Conducted research and analysis of stocks, bonds, mutual funds, exchange-traded funds, and other securities for my clients.
4. Served as the Compliance Officer and ensure all paperwork and regulatory requirements are met according to the Investment Advisors Act and the Uniform Securities Code.
5. Currently managed over thirty accounts with 2 million dollars in Assets Under Management during the first three months I opened the firm in a fee-based platform.
6. Managed Executive compensation brokerage accounts for Morgan Stanley Executives.
7. Actively assisted in IPO offerings that Morgan Stanley syndicates.

Experience

2-5 Years

Level

Junior

Education

MS