Manager Sales

BRUCE E. FORREST

** ****** *****

Jericho, NY ***53

Home: 516-***-**** Cell: 516-***-**** *****@*********.***

SUMMARY

Private client group Financial Advisor with excellent analysis, problem-

solving and communication skills. Solid experience in identifying clients'

financial objectives. Competent at portfolio evaluation and effective

asset allocation.

PROFESSIONAL EXPERIENCE

AURORA CAPITAL, LLC, New York, NY

2009-present

Registered Representative

Registered Representative with a boutique investment bank/broker dealer.

Recommend stocks, bonds and mutual funds to retail clients. Work with

private equity firms and hedge funds recommending IPO'S, private placements

and PIPE offerings.

SMITH BARNEY, Inc. New York, NY

1992-2009

Second Vice President

Financial Advisor with assets under management totaling in excess of $25

million. Establish and manage individual, corporate and retirement

accounts. Liaise with clients and money managers. Identify appropriate

investments to meet specific client objectives. Research and evaluate

money manager profiles to set up managed accounts. Analyze and review

financial statements and research reports of public companies. Consult

with fundamental and technical analysts. Conduct weekly client meetings to

review portfolios, performance and objectives. Attend mutual fund

investment symposiums to keep current on new products and investment

strategies.

. Reached "top producer" level for OppenheimerFunds for past five

consecutive years.

. Earned "investment council" status for Rochester Funds.

. Maintained client retention through difficult market conditions.

. Received investment advisory certification enabling referral relationship

with Certified Public Accountants.

. Received positive feedback from investors for excellent service and

attention resulting in a number of referrals.

DALE C. LTD, New York, NY 1988-1991

Vice President

Sales Manager for wholesale apparel company. Frequented designer showrooms

and selected merchandise for retail customers. Presented merchandise to

buyers. Supervised small sales force with direct report to President.

Analyzed corporate cash flows. Interacted with all levels of customers'

management in identifying and resolving problems.

FUTURE STAR TENNIS, Great Neck, NY 1987

Manager

Responsible for recruitment of camp memberships for junior tennis players.

Supervised junior development program. Instructed highly ranked junior and

adult players. Managed club facility during off-season.

STUART-JAMES COMPANY, Melville, NY 1985-1986

Account Executive

Investment Advisor for large OTC brokerage firm. Cold called individuals

to discuss investments relating to NASDAQ stocks. Attended due diligence

meetings of new venture capital companies. Recommended initial public

offerings to clients in order to provide capital to start-up companies.

LICENSES

Series 7, Series 63

EDUCATION

B.S., Economics, 1985

Tulane University

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