Accomplished executive leader with a work history of consistently exceeding performance objectives.

  Proven track record of increasing profits and reducing expenses by improving operational processes.

  Expert with the broker dealer and Registered Investment Advisor (RIA) business model and operations.

  Stellar listening, verbal communication and interpersonal skills to gain the trust, confidence and respect of key internal stakeholders across departments as well financial advisors and their clients.

  Outstanding knowledge of financial security, investments and life insurance products and services.

  Adhered to Agile, Six Sigma and Define, Measure, Analyze, Improve and Control (DMAIC) Methodology.

  Proficient with Microsoft Office Suite and Visio as well as JIRA software.

RIA Operations/Processes Team Building/Leadership Staff Management/Training

Budget Management Continuous/Process Improvement Change Management

Quality Control Financial Advisor Relations Client Relations

Project Management Asset Management Strategies Marketing/Advertising

First Allied Advisory Services, Inc. (formerly, FFP Securities & FFP Advisory Services) 1988-Present

Chief Operating Officer (2009-Present)

  Lead a team of 35 personnel, including 10 team members located offshore in India, to improve processes.

  Oversee merger or consolidation of corporate Registered Investment Advisor (RIA) operational functions.

  Review and approve asset management strategies of financial advisors.

Achievements:

  Led merger of broker dealer entities, combining more than 300 financial advisors and their nearly 20,000 accounts into the company.

  Trained 25 project team members and spearheaded conversion of operating systems for nearly $5 billion in assets on behalf of more than 800 financial advisors impacting 20,000 customer accounts.

  Spearheaded intensive, six-week on-site training of 10 team members on best practices of RIA functions.

  Decreased payroll expenses 35% after spearheading training to outsource the majority of RIA processing functions to a firm in India.

  Lowered new account processing cycle times 35% after leading a Six Sigma project using Define, Measure, Analyze, Improve and Control (DMAIC) Methodology.

First Allied Advisory Services, Inc. (formerly, FFP Securities & FFP Advisory Services) 1988-Present

Executive Vice President Product, Sales and Marketing, FFP Securities & FFP Advisory Services (2004-2009)

  Reporting to the President of FFP, supported over 500 financial advisors, plus managed the Recruiting Team; created marketing materials to recruit new advisors; and determined advisor compensation, including changing the process in which they were paid.

  Managed project teams of up to 20 personnel.

  Led annual conferences and regional meetings before financial advisors, including managing the budget and drafting all content for the events.

  Played an integral role with SEC broker dealer examinations and RIA SEC exams.

Achievements:

  Increased planning/consulting fees 25% after launching SunGard Planning Station for all financial advisors.

  Led a 20-member project team that acquires the assets of a $600 million RIA entity with more than 300 financial advisors and 7,000 client accounts.

Executive Vice President Product, FFP Securities & FFP Advisory Services (2002-2004)

  Managed product and asset manager due diligence, review and approval.

  Boosted non-compensable revenue sharing 65% after creating and implementing a Product Partner Program for the broker dealer.

  Increased insurance commission sales for the broker dealer 35% after implementing insurance marketing programs for financial advisors.

Senior Vice President, Operations, FFP Advisory Services (1991-2002)

  Analyzed and streamlined processes across the asset management, financial planning/consulting and consolidated statements functional groups, impacting more than 500 financial advisors.

  Improved results after creating and implementing a proprietary, Internet-based model trading system for a variable annuity management program, as well as numerous systems for an asset management platform.

  Negotiated contracts with boutique money managers for access to our asset management platforms, including the review and approval of financial advisor asset management strategies.

Manager, Operations, FFP Advisory Services (1988-1991)

Bachelor of Science, Business Administration (BSBA), with minors in Finance and Economics

University of Missouri, Columbia

Series 6, 7, 24, 63 and 65 licensed

Active Member, Financial Services Institute; since 2003

Dear Hiring Manager:

I am currently seeking a challenging opportunity at your organization and am submitting my resume for your review. In advance, thank you for your time and consideration.

As demonstrated in the accompanying resume, I am an accomplished executive leader with a work history of consistently exceeding performance objectives. For example, I have a proven track record of increasing profits and reducing expenses by improving operational processes. I am a particular expert with the broker dealer and Registered Investment Advisor (RIA) business model and operations. In this capacity, I ve demonstrated stellar listening, verbal communication and interpersonal skills to gain the trust, confidence and respect of key internal stakeholders across departments as well financial advisors and their clients. I ve also adhered to Agile, Six Sigma and Define, Measure, Analyze, Improve and Control (DMAIC) Methodology. Among my additional achievements:

  Led merger of broker dealer entities, combining more than 300 financial advisors and their nearly 20,000 accounts into the company.

  Trained 25 project team members and spearheaded conversion of operating systems for nearly $5 billion in assets on behalf of more than 800 financial advisors impacting 20,000 customer accounts.

  Spearheaded intensive, six-week on-site training of 10 team members on best practices of RIA functions.

  Decreased payroll expenses 35% after spearheading training to outsource the majority of RIA processing functions to a firm in India.

  Lowered new account processing cycle times 35% after leading a Six Sigma project using Define, Measure, Analyze, Improve and Control (DMAIC) Methodology.

  Increased planning/consulting fees 25% after launching SunGard Planning Station for all financial advisors.

  Led a 20-member project team that acquires the assets of a $600 million RIA entity with more than 300 financial advisors and 7,000 client accounts.

As your leader, you will find me to be a team player committed to exceeding your performance expectations. I have no doubt that I would be a valuable asset to your operations, and look forward to interviewing with you in the near future.

Sincerely,

Yyyyyy x. yyyyyy

xxx-xxx-xxxx