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Yyyyyy x. yyyyyy

- 3099 Argonne Dr Ÿ Xxxxxx, XXXXXX xxxxxx ( (xxx-xxx-xxxx *


Financial Services ▪ Wealth Management ▪ Trust Administration

Qualifications Profile


    Self-assured, dynamic, and results-driven management professional with more than 11years providing high-performance client service in wealth and investment management in the capital and financial services sectors.

-    Proven dedication to process efficiencies in delivering outstanding customer service in building wealth while maintaining a solid reputation for financial service successes for the company.

-    Detail-oriented, analytical and methodical with critical thinking to resolve work issues even under stress.

    Well-orxxxxxxnized with multitasking and prioritization skills that optimize resources to achieve outstanding results.

    Strong people management and interpersonal communication skills that inspire confidence across diverse ethnicities.


Key Expertise

Financial Service Management

    Investment/Wealth Management

    Portfolio Management

    Fiscal & Budget Management

    Risk Management

    Insurance Brokerage

    Trust Fund Management

Business Operations Management

    Business Development

    Inventory Management

    Relationship Management (Clients, Stakeholders, & Suppliers)

Sales Support

    Wholesale Management

    Account Management

    Customer Service Management


    Staff Supervision & Training

    Policies & Regulatory Compliance (i.e., SEC, UPIA, & Sarbanes-Oxley, etc.)


Professional Experience


Lexxxxxxcy Capital Advisors Ÿ Xxxxxx, XXXXXX

Wealth Manager 2015 Present

    Provided strategic direction in managing sales, financial planning, and business development, creating and executing business networking, and marketing strategies that grow customer base and revenues in target markets.

    Identify and address client financial goals, evaluating current financial status to build a suitable financial growth roadmap in investments, estate planning, educational savings, insurance and debt management.

    Build sustainable working relationships with clients and business partners, leveraging knowledge in investment products, market trends, and compliance to achieve cost and efficiency advantages in daily business operations.


Oak Spring Farm, Private High Net Worth Family New York, NY

Private Family Office Consultant 2012 - 2015

    Managed the finances of a high net worth family, maintaining inventory records of hundreds of family art pieces totaling over $400M, reviewing and archiving associated documents, ensuring proper listing of art pieces in trust, testamentary documents, and in Sotheby s auction materials.


U.S. Trust, Bank of America Xxxxxx, XXXXXX

Trust Administration Specialist Officer 2007 2011

    Provided compliance oversight of over 1,500 trusts with a total of over $1B in assets, conducting fiduciary reviews of beneficiary distribution requests, ensuring compliance with UPIA investment requirements and reviews.

    Identified client needs and provided solutions, building sustainable professional relationships that created confidence in recommended financial solution, and collaborating with co-trustees in managing investment and fiduciary matters.

    Monitored trust accounts to ensure proper compliance with OCC Regulation 9 and internal policy requirements.


Bank of America Ÿ Xxxxxx, XXXXXX

Risk Management Officer 2005 2007

    Responsible for risk management oversight on over 1,200 trusts with over $1B in aggrexxxxxxte assets.

    Performed annual fiduciary OCC Regulation 9 compliance reviews. Evaluated factors such as risk allocation and specialty assets to ensure compliance with prudent person investor standards.

    Calculated annual UPIA incomes, completing annual UPIA investment reviews, and ensuring enforcement of UPIA notifications and regulations .


Education & Credentials


    Juris Doctor, VERMONT LAW SCHOOL, South Royalton, VT (2005)

    Bachelor of Arts, UNIVERSITY OF DENVER Denver, CO (1994)

Professional Training, Certification & Licensure

    Certificate in Financial Planning, Terry College of Business, University of Xxxxxx, Xxxxxx, XXXXXX (2012)

    Series 7, Series 66, Licensed Insurance Representative (life, health and disability)

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