Customer Service Account Executive
Resume:
Richard M. Hartman -* Resume,
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RICHARD M. HARTMAN
Ithaca, New York 14850
****@*********.***
SKILLS SUMMARY
Hold a Series 7.
Held a Series 63.
U-4 is updated currently and clean.
Have a 5 year business plan written.
Have established local relationships in the area to connect with, about 400 business
relationships.
Have investment money and clients to bring to the firm. About $ 250,000 immediately.
Extensive Expertise in Cold –Calling, I have about 10,000 names currently to contact.
Experience in Wealth Management Discovery Meetings.
Former Financial advisor, bond broker and equities trader.
Experienced salesman and general manager for higher education, non-profit, and business
clients.
Founded my own NY State corporation.
Excellent communication skills and attention to detail. Strong investment in high-quality,
personal customer service, confidentiality, and professional ethics.
Expert at telephone client contact to explore background identify needs and comfort level
with varied products, price points, and investments; and gather information including net
worth and understanding of risk. Skilled at building relationships for long-term interaction.
Self employed since 1992. Comfortable working independently or as part of a team.
Flexible, experienced with meeting demands of busy clients and multiple stakeholders..
Microsoft Office knowledge.
PROFESSIONAL EXPERIENCE
Financial Advisor Associate, Morgan Stanley/Smith Barney, Ithaca, NY July 1-Present.
I have been in the Morgan Stanley Training Program most recently. I achieved an above average
score for Series 7. I achieved an above average score on Morgan Stanley Internal Testing for
Investments and Insurance Products.
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I have perfected and continually try to improve my cold call techniques and my approach to asset
discovery meetings.
I have developed a practical, daily business plan, that I can use by the minute to achieve top
level success. I have attached this document.
President and Founder, The Hartman Group, Ithaca, NY Aug. 2001-July 1, 2010.
Founded and managed business selling promotional products throughout the country.
Cultivated clients in diverse sectors including higher education, non-profits, corporations,
and athletic teams. A partial list of clients includes: Cornell University, Columbia
University, Ithaca College, SUNY Cortland, Finger Lakes Entrepreneurs’ Forum, Heluva
Good Cheese, Ithaca City School District, Kings College, The University of Scranton and
The Department of Homeland Security.
Conceptualized and implemented a tradeshow strategy. Traveled to national shows each
year. Developed an average of 10 clients per show from 35 qualified leads. Managed all
details of show booking, sample orders, travel, display, and floor staffing.
Responsible for all budgeting and day-to-day business management including order entry,
time management, records maintenance, accounting, and financial record keeping for tax
and business tracking purposes.
Cadaret Grant and Company, Syracuse, NY June 1998-Aug.
2001
Senior Account Executive independently associated with P.W. Wood and Son, an insurance
brokerage.
Managed investments in foreign and domestic markets. Advised high net worth clients on
equity, bond, and derivative investments.
Wrote and presented sales presentations to prospects as well as clients.
Developed talking points as well for individual financial situations.
Worked closely with Cadaret internal compliance department to oversee accounts.
Leigh Baldwin and Company, LLC. Cazenovia, NY Jan. 1996-June 1998
Senior Account Executive and Senior SOES Trader
Managed investments in foreign and domestic markets.
Advised clients on equity, bond, and derivative investments.
Executed stock trades for retail clients on NASDAQ’s Small Order Entry System (SOES)
and the SelectNet system.
EDUCATION
B.S. Liberal Studies, the University of Scranton, Scranton, PA
COMPUTER SKILLS
Microsoft Office, Microsoft Word, Various Trading Platforms.
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Value Statement
I help create customized investment strategies for clients but more importantly, for clients,I
help them make well informed financial decisions and maintain the discipline they need to
navigate through volatile markets.
Business Plan 2011
Richard Hartman
My Vision is $ 4,000,000 assets under management first year.
$ 8,000,000 million under management in 24 months.
$ 12, 000,000 million under management in 36 months.
$ 20, 000, 000 million under management in 5 years.
To achieve top level production.
My Daily Prospecting Strategies are:
Read the Journal prep, and organize. -6 -8 am.
Telemarketing for Appointments - 8 am -12.30 pm. 50 contacts, for the morning.
Per week.
200 calls a day.
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1000 per week.
20 Qualified Leads per week.
4 appointments per week.
1 client per week.
40 clients per year.
Clients are $100, 000 plus in investible assets.
Appointments, 1 pm to 6 pm. 5 a week, to strive for.
Networking 6 pm -10 pm.
Knock on doors as needed.
Develop the Website
Pay for Google search.
Tradeshow as well. .
My Target markets:
Local Existing Contacts, 250 previous clients.
Regional Corporate Contacts
University Officials.
My Activities:
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Rotary club
USA Hockey coach.
Country Club, Already own a bond.
Estate Planning Council.
Seton Hall Law School semi- annual seminars on Trusts, Wills and Estates.
Planning, regionally for USTA tennis events.
Youth Bureau Soccer, planning and volunteer.
Chamber of Commerce Activities. - Walk in and introduce myself with them.
Cornell Entrepreneurs Society.
A M and T (Binghamton), member of this exploring more options.
Finance Council at St. Catherine’s of Sienna Church.
Pastoral Council at St. Catherine’s of Sienna Church.
St. Catherine Church Men’s Club.
Finger Lakes Entrepreneur Society.
NY State Entrepreneurs
Society of American Revolution
Knights of Columbus
USA Hockey Coach, Level 1
Cornell Professors Golf Team
USTA Tennis Team.
Finger Lakes Hockey Officials.
Cornell Hockey boosters, Men and Women.
Ithaca Orchestra Volunteering
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Cornell Orchestra Volunteering.
Cornell Cinema Volunteer.
Elks Club
Ithaca High Sports Boosters
Ithaca Fine Arts Sports Boosters
Helping with Daughters of American Revolution Genealogy.
NY State Sons of American Revolution.
Organization of Friends who, ski, golf and dine together.
NY State Republican Party.
C.A.S.E. – Organization for University donors and Philanthropists.
Fiore Cesare, Football Award Committee work.
Cornell Tennis club.
Tai Chi class.
Official Scorekeeper for Cal Ripken Baseball Organization.
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