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yyyyyy x. yyyyyy

0000 xxxxxx xxxx , xxxx , xxxxx 00000 ▪ (xxx-xxx-xxxx ▪

Highly Qualified Finance Professional

Top-performing, results-driven financial professional with extensive experience in analytical trading, researching and investment banking and a proven ability to attract new business through direct sales / cold-calling and marketing eager to contribute and deliver immediate results as a valued team member.

Hold Series 7, 66 Licenses.


  Significant achievement in analyzing current market conditions, monitoring volatile market activities and understanding industry comparisons; expertise with the technology sector

  Demonstrated competencies in customer service management with the capacity to develop and maintain long-term, high-profit client relationships

  Excellent ability to consistently maintain composure and remain productive in extremely high-pressure, time-sensitive environments; experience with option trading and developing option strategies

  Dynamic communication, consultation and problem solving skills

  Thorough understanding and experience with back office operations

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Professional Experience


Financial Advisor/Stock Broker/Partner August 2009 Present

Adams & Peck/Lane Capital Market, Greenwich, CT

  Gainfully raise capital for Hedge Fund Genesis Merchant Partners

  Successfully increase individual stock investments through new business development with high net worth retail clients

  Maximize revenue by assisting portfolio managers buying distressed debt and bankers structuring loans to small and medium size companies

  Capitalize on sales opportunities by marketing bridge and mezzanine loan funds to institutions and qualified investors

  Effectively build customer loyalty by selling one-off private equity, debt and venture financing for public and private companies


Financial Advisor/Stock Broker/Junior Partner January 2009 August 2009

Laidlaw & Co (UK), San Francisco, CA

  Recognized for increasing sales in the San Francisco branch by 30%; met or exceeded monthly sales goals for attracting new clients

  Lucratively raised hundreds of thousands of dollars in trading accounts; gainfully traded stocks

  Maintained customer satisfaction by successfully managing high net worth investor portfolios

  Profitably increased individual stock investments through new business development with high net worth retail clients

  Made recommendations to maximize revenue based on researching and analyzing public companies financial statements

  Productively prospected new opportunities throughout Europe, Africa, Latin America and USA


Sales Associate Institutional Sales June 2006 November 2007

Bear Stearns & Co, San Francisco, CA

  Effectively gained new clientele through prospecting high net worth individuals

  Built strong business relationships while acting as the point of contact for brokering pools of mortgages between the trading desk and mortgage bank

  Played solid role in growing business and ensuring customer loyalty by continually delivering superior customer service while managing small institutions and private wealth management accounts

  Routinely assisted with structuring the sub-prime and alt-a mortgage backed securities

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Bachelor of Arts Business/Economics, University of California, Santa Barbara, CA 2005

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