Management Engineer

J AMES S ERAMBA MBA CFP CIMA

**** ************ *****, ************, ** 27284

T: 336-***-**** ********@***.***

FINANCIAL PLANNING / ASSET MANAGEMENT FOCUS

Asset Origination Portfolio Optimization & Diversification Investment Management

Highly motivated and experienced finance professional with expert proficiency in long term financial planning and asset

management for high net worth individuals. Comprehensive understanding of the capital markets, security analysis, and value

investing integral to generating positive returns for clients. Founded a successful investment management firm in North

Carolina, personally managing $62M in total assets for over 70 clients gained through referrals and personal connections.

Entrepreneurial mindset and client centric disposition immediately transferable to senior financial planning positions with an

established institution. Completed financial advisory training at Merrill Lynch and augmented investment analytical talent at

UBS. Outstanding interpersonal communication and leadership skills. MBA, Wake Forest, BS; U.S. Military Academy (West

Point). Additional strengths include:

Strategic Planning & Risk Management High Profile Management Presentations

Business Development & Networking Team Collaboration / Leadership Skills

Capital Budgeting / Market Research Interpersonal Communication Abilities

Operational Execution & Efficiency Due Diligence / Profit & Loss Analysis

Continuous Process Improvement Asset Allocations & Client Advisory

PROFESSIONAL EXPERIENCE

GREY OAK WEALTH MANAGEMENT, Greensboro, NC

Managing Partner & Owner (2006 Present)

Direct, lead, and run a privately held asset management firm based in North Carolina, managing over $62M in investable assets

for 75 clients. Primarily responsible for marketing the capabilities of the firm to new clientele and addressing client service

queries. Formulate and implement complex investment strategies; design customized financial plans to meet specific retirement

and long term savings needs. Supervise the day to day operations of the business and oversee two administrative staff

responsible for bookkeeping and documentation. Achieved 10% growth in assets and revenues for five straight years despite

challenging market conditions.

Highlighted Achievements:

Notably generated majority of business through personal referrals, networking, and centers of influence. Collaborate

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closely with CPAs and tax attorneys on assignments to generate business leads.

Facilitated and led financial planning seminars in addition to maintaining a full travel schedule to meet personally with

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clients. Performed due diligence on new investment products in close contact with wholesalers representing the large

broker dealers.

Provided guidance to business owners in structuring right sized benefits plans. Offered advice on and defined

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succession planning for clients; negotiated bank loans and identified capital to fund new interests.

UBS, Greensboro, NC

Financial Advisor (1999 2006)

Recruited to join UBS. Grew $32M in client assets to $75M. Obtained the Certified Investment Management Analyst (CIMA)

and Certified Financial Planner (CFP) designations, covering 125 clients from a diverse range of backgrounds. Interacted

frequently with clients to share ideas, evaluate investment opportunities, and analyze existing portfolio allocations to maximize

returns given a specific time horizon.

Grew a top performing book of business by $40M over tenure, capitalizing on networking opportunities, continuous

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referrals, and cold call introductions.

Acquired familiarity and expertise in multiple asset classes (stocks, bonds, real estate, commodities) that facilitated an

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enhanced decision making process for clients seeking diversified portfolios.

Recognized for exceptional leadership, oral communication, relationship building, and marketing skills.

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James Seramba, Page Two

T: 336-***-**** ********@***.***

PROFESSIONAL EXPERIENCE – CONTINUED

MERRILL LYNCH, Greensboro, NC

Financial Consultant (1995 1999)

Relocated to North Carolina to pursue a new career in finance, offering strategic guidance to medium and high net worth

individuals with a diverse set of investment objectives, retirement interests, and savings challenges.

Completed the firm’s financial advisory training program in 18 months instead of the typical 24 for most candidates.

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Demonstrated outstanding professional adaptability and diligence.

Aggressively grew a book of business to $32M in assets from a starting point of zero solely from cold calls,

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professional networking, and referrals. Achieved tremendous growth in fees in less than four years.

GUARDIAN INDUSTRIES, Carlton, MI

Industrial Engineer (1993 1995)

Transitioned to the private sector to manage the Occupational Safety & Health Administration (OSHA) and environmental

compliance function for a private glass manufacturer in Michigan. Defined, introduced, implemented, and enforced the policies

and procedures to ensure full adherence to federal and state work safety regulations. Identified and recommended physical and

systemic improvements to optimize the general work environment for company personnel. Communicated regularly with senior

management; served as a liaison to the U.S. Environmental Protection Agency (EPA).

Highlighted Achievements

Established clear policies and procedures regarding OSHA compliance for the first time in the organization’s history

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that increased managerial accountability and minimized regulatory risk with the state of Michigan and its department

of natural resources.

Emerged as the subject matter expert (SME) on environmental compliance and assumed critical enforcement

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responsibilities on management’s behalf.

Integral contributor to the positive cultural transformation experienced by the company during tenure that witnessed

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increasing levels of profitability and market share.

M I LI TARY E X PE RI ENC E

UNITED STATES ARMY, Schofield Barracks, HI

Armor Officer (1986 1993)

Excelled as an Armor Officer for seven years with the U.S. Army. Ultimately earned Top Secret Clearance. Served as a platoon

leader, company executive officer, and assistant operations officer. Fought in Operation Desert Storm with the 1 st Infantry

Division as an assistant operations officer of a tank task force. Company commander of a tank company and maintenance unit

at final duty station in Germany. Honorably Discharged.

E D U C AT I O N A L B AC KG R O U N D

WAKE FOREST UNIVERSITY, Master of Business Administration, Winston Salem, NC

Coursework emphasized general management, finance, and security analysis.

UNITED STATES MILITARY ACADEMY, Bachelor of Science, Mechanical Engineering, West Point, NY

Minor: Economics. Honors & Distinction: Graduated in the top 10% of graduating class.

Series 3, 7, 24, 63,65 and Insurance licensed

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