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Yyyyyy x. yyyyyy

555 Main Street #0000 xxxxxx xxxx , xxxx , xxxxx 00000

Phone: (xxx-xxx-xxxx ●


Financial Services Professional eager to contribute exceptional client relations expertise toward

supporting a dynamic bank or brokerage firm in optimizing bottom-line performance.



Solid experience in investment and financial services spanning trading, option orders, real-time quotes, and market analysis. Foster and maintain cooperative and collaborative relationships with other teams to support, streamline and optimize research, data analysis, and investment processes and activities. Proven ability to work in fast-paced environments and balance competing demands and priorities. Quickly adapt to new roles, responsibilities, technologies, and environments. Excel in relationship-building, portfolio analysis and management, and providing premier service. Confident and perceptive with significant problem solving abilities and interpersonal skills. Excellent technical/computer skills with proficiency in Excel, Word, ADP, Bloomberg, and Lexis Nexus.


Selected Achievements:


         Referred 10+ clients per day to TD Ameritrade, playing a pivotal role in to moving over 30,000 accounts, reducing total attrition to 60% and surpassing firm s goal by moving over $2B in total assets.

         Instrumental in closing $8M in new business by convincing wealthy broker-dealer client to explore options with Private Client Services by explaining advantages of a fee-based discretionary platform and referring to Portfolio Manager.

         Avoided loss of $20M to a major competitor by facilitating conference calls with wealth management billion dollar team and portfolio manager regarding trading capabilities and transparency of Exchange Traded Funds (ETFs).

         Supported $700M client in building an ETF portfolio within their new platform resulting in client securing $25M in new business.

         Assisted $200M client in transitioning 20% of book from non-discretionary mutual fund platform to a fee-based discretionary platform by implementing ETFs to attract new business.

  • Successfully placed overseas Board of Director for non-profit organization having $1M in a foreign bank into a laddered bond portfolio, enabling capital preservation through corporate bonds and income from high yield fixed income portfolio.
  • Elevated TD Waterhouse call center customer service index scores from six to seven (perfect score).
  • Accurately expedited $1M transfer on sensitive account to preserve key client relationship.


Professional Experience


Northwestern Mutual The Russo Financial Group, New York, NY, 2010 to Present

Financial Services Representative

  • Analyze industry and market trends to provide practical financial guidance to clients.
  • Conduct in-depth assessments to determine potential prospects financial goals and current situation, and leverage needs-based analysis program to identify gaps in prospects /clients financial future.
  • Recommend specific financial security solutions, insurance products and/or investment strategies.
  • Strategically partner with industry specialists to provide solutions related to long-term care, disability insurance, retirement planning, estate planning, etc.


TD Wealth Management Services Inc., New York, New York, 2010

Client Transition Specialist

         Assisted bank with strategy to exit brokerage business by helping clients to transition assets to affiliates, TD Ameritrade and Private Client Services and/or outside firms.






Professional Experience continued Yyyyyy x. yyyyyy Page 2 of 2


         Collaboratively responded to approximately 50 client calls daily, demonstrating proficiency in identifying needs, providing solutions, and explaining benefits of transitioning accounts to affiliates.

         Instructed Operations to transfer assets and issue checks to clients closing their accounts.

         Generated Excel spreadsheet to organize accounts and total assets being transferred to TD Ameritrade for submission to bank President.


Barclays Global Investors, Jersey City, New Jersey, 2007 to 2009

Regional Sales Associate

         Cultivated, nurtured and maintained strong relationships with top-producing Financial Advisors to identify business opportunities and propel sales of ETFs.

         Cooperated with business development team to maximize sales coverage in Northern New Jersey and upstate New York territory within Private Client Group channel.

         Partnered with Business Development Team in devising strategic business plan to drive asset sales and grow market share within assigned territories.


Citi-Smith Barney, New York, New York, 2006 to 2007

Financial Advisor

  • Applied dynamic industry acumen and consultative talents toward providing portfolio management, wealth management, retirement planning, and cash management advice to broad-scope client base.
  • Analyzed client s financial goals, developed and presented solutions, and facilitated sales of wide range of financial and investment products and strategies.
  • Conducted an average of 200 daily cold calls to continuously expand client base.


TD Waterhouse, Jersey City, New Jersey, 2004 to 2006

Account Officer

  • Communicated with 70+ existing and prospective clients daily in a call center environment, efficiently researching inquiries, entering trades, resolving account issues, providing real time quotes, and cross-selling products including e-services and advanced trading platform for active traders.
  • Supported seamless communication and interaction among numerous departments and 140 branches.


UBS Financial Services, Weehawken, New Jersey, 2003 to 2004

Regulatory Analyst

  • Performed transactional, investigative and documented analysis, researched suspicious activities, and conducted enhanced due diligence for customer accounts.
  • Promptly responded to SEC information requests and regulatory information subpoenas.


Datek Financial Services, Jersey City, New Jersey, 1999 to 2003

Trade Representative

  • Answered over 100 calls daily from high-profile and prospective clients to resolve problems, provide real-time quotes, and facilitate client orders.
  • Successfully resolved problems with online trades and administered high-net worth accounts including processing fund requests of over $250K.


Education & Licensure


B.A. in Psychology, Minor in Business Management, Fairfield University, Fairfield, Connecticut


Series 7, 63 and 65, National Association of Securities Dealers


Life and Health NY, NJ and CT



Yyyyyy x. yyyyyy

555 Main Street #0000 xxxxxx xxxx , xxxx , xxxxx 00000

Phone: (xxx-xxx-xxxx ●










Hiring Agent Name


Company Name


City/State/Zip Code




I am currently seeking a challenging career opportunity in a <INSERT JOB TITLE/POSITION> capacity and am submitting my resume for your review. In advance, thank you for your time and consideration.


I bring to you outstanding skills in the investment and financial services arena and strong talents in client relationship management, trading, and performing in-depth market analysis. I also possess considerable strengths in monitoring regulatory assurance, performing enhanced due diligence, and providing strategic financial recommendations and guidance to high-net-worth clientele. Additionally, I offer excellent organizational, planning, interpersonal and communication skills which are paramount as a <INSERT JOB TITLE/POSITION>.

As a proactive contributor to your organization, you will find me to be a self-motivated professional and stellar leader committed to supporting you in achieving your objectives through sharp analytical strengths and keen financial expertise. I am confident that I could be a valuable asset to your company, and look forward to interviewing with you in the near future.





Yyyyyy x. yyyyyy

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