Focused, dedicated and confident professional with years of progressive, diversified experience in the investment field. Passionate in leading efforts to ensure fiscal soundness in working with clients. Successful in working with clients and other important entities at all levels; excel as a team member or independent achiever. Eliminate redundancy to enhance daily operations. Flexible in wearing xxxxxxny hats at once using time xxxxxxnagement, problem solving and innovative thinking acumen. Excel under pressure in fast-paced working environments that call for both adaptability and flexibility. Seeking a challenging and exciting new role in the financial sector that will offer growth opportunities in an Investment Advisor or Registered Event Advisor role with a focus on client xxxxxxnagement or sales.

Client Relations | Business Operations | Financial Acumen | Asset Xxxxxxnagement | Consulting | Strategic Planning

Reporting & Recordkeeping | Time Xxxxxxnagement | Organization | Problem Solving

  Oversee a roster of high-net-worth private clients with an aggregate value of over $100M; foster long-term, trust based relationships as evidenced by top decile retention metrics

  Educate clients comprehensively based on their respective needs

  Focus on the firm s strategy and investments by serving as an effective intermediary between client and the internal Investment Policy Committee

  Guide prospects through acquisition, from introduction through to close of business

  Reply to questions regarding investment ideas, processes, perforxxxxxxnce, positioning, risk xxxxxxnagement and outlook, as well as xxxxxxrket inquiries

  Bolster assets under xxxxxxnagement by noting and analyzing clients external assets and obtaining referral business

  Operated in a team capacity to drive mutual fund sales

  Developed, xxxxxxintained and strengthened relations with prospective, new and current Financial Advisors and Registered Investment Advisors

  Called on a self-created territory xxxxxxnagement strategy to ensure full coverage; traveled quarterly to conduct face-to-face meetings, attend conferences and present at client events

  Engaged in full analyses to xxxxxxke mutual fund recommendations for client portfolios

  Trained and coached new hires on products, effective sales strategies and other core functions

  Recognized as a vital player in leading the team to surpass established sales goals and boost xxxxxxrket share each quarter from Q1 of 2013 up until Q2 of 2015

Continued

  Partnered with an External Business Consultant to heighten the sale of mutual fund by developing and reinforcing potential, new and existing relations with Independent Financial Advisors

  Proactively xxxxxxde phone calls to solicit products and services to increase sales and xxxxxxrket share

  Served as a Mutual Fund Specialist for the John Hancock Disciplined Value and Disciplined Value Mid Cap funds

  Liaised between Portfolio Xxxxxxnagers and sales staff; trained new external and internal Consultants, answered their follow-up questions and offered mutual fund strategy updates as needed

  Acted in a senior mentor role to train new hires on how to become successful Consultants as well

  Handled financial transactions e.g. investment changes, withdrawals and contract xxxxxxintenance

  Serviced internal wholesalers for Financial Advisors and John Hancock Annuities with new business, death claims, licensing/commission inquiries, product specifications and IRS regulations

  Aided team members with replying to questions and fielding escalated calls in the Call Center

  Facilitated team meetings, as well as engaged actively in department meetings

  Presented new xxxxxxterial to team members regarding pending issues as needed

Bachelor of Arts, Economics, Denison University

Securities License, Series 65 (https://files.brokercheck.finra.org/individual/individual_5168097.pdf)

Cabinet Member, Phi Gamxxxxxx Delta

Mentor, Big Brothers Big Sisters

Volunteer, Food Pantry of Licking County

158 F St. #3 | Xxxxxx, XXXXXX xxxxxx xxx-xxx-xxxx | abc@xyz.com

Xxxxxxrch 16, 2018

Hiring Agent Name

Title

Company Name

Address

City/State/Zip Code

Dear [Hiring Agent Name],

I am currently seeking a challenging career opportunity in a (INSERT TITLE OF TARGET POSITION) capacity and am submitting my resume for your review. In advance, thank you for your time and consideration. As demonstrated in the accompanying resume, my professional qualifications include the following accomplishments:

  I bring to any investment advising role years of proven success in various consultative and leadership capacities. Much of my background is comprised of delivering comprehensive assistance to a diverse client base.

  My experiences thus far have sharpened and refined my keen ability to connect positively with individual and groups at all levels. I m an expert in achieving success by operating in a cross-functional capacity to surpass organizational goals.

  As a professional, I am able to thrive under pressure in dexxxxxxnding, deadline-driven settings. I excel as both an independent contributor and contributory team member to drive efficient operations.

  Outside of my practical background, I ve also earned a B.A. in Economics, as well as earned my Series 65 FINRA Securities License. While my career xxxxxxy span 10 years, I rexxxxxxin a lifelong learner to this day, always ready and willing to adapt to new technologies and best practices.

As an employee, you will find me to be a driven team player committed to supporting you in achieving your objectives through superior perforxxxxxxnce. I am confident that I could be a valuable asset to your organization, and look forward to interviewing with you in the near future.

Sincerely,

Yyyyyy x. yyyyyy

Enc. Resume