Thomas Rallis FMA, FCSI, RRC

***-**** ****** ***** ****

Mississauga On L4Y 2W9 416-***-****

Education:

. Registered Retirement Consultant Jan 2010

. Fellow of Canadian Securities Institute Nov 2008

. Financial Management Advisor Sep 2008

. Wealth Management Techniques Course Aug, 2008

. Professional Financial Planning Course, Jan 2002.

. Options Licensing Course, April 2001.

. Derivatives Fundamentals Course, Jan 2001.

. Canadian Conduct & Practice Course, Oct 1999.

. Canadian Securities Course, Nov 1998.

. Finance Diploma, Sheridan College, June 1992.

Experience:

Financial Advisor, CIBC Imperial Service May 2006 - October 2013

Offering holistic financial planning including, investment planning,

retirement planning, cash flow planning, credit planning and day to day

banking.

. Manage and build on an existing portfolio of select CIBC Imperial

Service clients.

. Provide clients with a unique needs-based sales approach to assist

them in achieving their evolving financial needs.

. Manage a portfolio of $37 million investments, $37 million credit,

and $9 million cash

Registered Representative, CIBC Investor Services, July 2005 - May 2006

. Trading Equities, Mutual Funds, GICs, Options & Fixed Income.

. Provide a broad range of Customer Service.

. Monitor corporate restructuring changes.

. Knowledgeable in banking procedures and new accounts.

. Provide detailed account information and delivery of proper regulatory

policies and procedures.

Investment Advisor, Wood Gundy Investment Center, May 2005- July 2005

. Profile clients by obtaining relevant personal and investment

information and update profiles as needed

. Work with profiled clients to develop appropriate investment

strategies that are consistent with client investment goals and risk

tolerance.

. Maintain regular contact with clients to discuss investment options,

client financial goals, and to sell appropriate new products and

services.

. Receive and execute market orders upon client instructions.

. Provide clients with product and service feature information.

. Update new accounts documentation for clients if necessary.

Registered Representative, CIBC Investor Services, Oct 2000- May 2005

. Trading Equities, Mutual Funds, GICs, Options & Fixed Income.

. Provide a broad range of Customer Service.

. Monitor corporate restructuring changes.

. Knowledgeable in banking procedures and new accounts.

. Provide detailed account information and delivery of proper regulatory

policies and procedures

Internal Client Relations, CIBC Investor Services, Jan 1999- Oct 2000

. Provide a broad range of customer service to external and internal

clients.

. Support branch network with product information, detailed account

information and accurate regulatory policies and procedures.

Internal Client Relations, CIBC Securities Inc. Dec 1996- Jan 1999

. Provide customer service to branch representatives on Wealth

Management Products, client statements, annual reports, and tax

reporting transactions.

. Opening of new accounts for internal and external clients.

. Training and orientation of new staff members.

. In-house contact for junior staff inquiries.

Additional Skills:

. Horizon, AOM, ADP, Coins, Excel, Microsoft Word, CBFE (banking)

Bloomberg

Reference:

. Available upon request

Contact this candidate