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Management Manager

Ladson, South Carolina, 29456, United States
March 03, 2011

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Ladson, South Carolina


Seeking a position as a: senior Sales Account Executive

Key Strengths Include:

Client Relations: Have over 24 years of practical real world experience

in assisting and communicating with clients from all walks of life and from

all different financial situations. Through special client events, such as

Client Appreciation Dinners and Client Seminars, clients have expressed

their loyalty and appreciation, which has resulted in an ever-expanding

client database, now encompassing 11 states. Constant new referral

introductions have illustrated the level of client satisfaction and

confidence. I am committed to establishing a very personal, successful and

long-term partnership with each of my clients.

Portfolio Management and Investment Strategies: Expertise and experience

in providing direction with appropriate and suitable investment options for

pre-retirees and retirees. This skill has helped my clients prepare for

retirement and maintain or improve their standard of living, if they were

already retired. I am well-versed in the special circumstances and special

concerns, which individuals have in planning for their retirement and those

strategies for reducing their tax liability.

Systems and Procedures: The analytical skills, organizational ability and

attention to detail that not only allows an advisor to transact client

requests in a timely and prudent manner, but also, allows an advisor to

maintain a strong client relationship through the years, in good times and

in bad. I use a disciplined approach when allocating investment portfolios

and only recommend suitable solutions, based on a firm understanding of a

client's objectives, priorities and risk tolerance.

Leadership and Management: I have (a) the experience to supervise and

train new advisors, which provides new applicants the motivation to become

ultimately successful in a financial services career (b) the decision-

making and leadership skills to ensure action and provide successful

results, and (c) the mature insight to provide a proper balance between

instruction and motivation for new advisors.


Mass Mutual Financial Group Financial

Services Professional


The Merschen Group

N.Charleston, S.Carolina

o For over 15 years, I have grown a practice to +600 clients, encompassing

11 states, representing over $60 million dollars in assets under management

- I specialize in providing retirement services and am a

qualified 401K Rollover Specialist. I assist many pre-retirees and retirees

in achieving their most important financial goal - a comfortable

retirement. As a member of the 2005 Million Dollar Round table, I have

continued to expand my practice, assisting individuals and small businesses

with their financial and retirement goals.

o The long term vision of The Merschen Group is to provide financial

services expertise to an ever-growing number of clients. The intent is to

eventually exceed $240 million dollars in assets under management. I expect

to continue to set the standard for client service in the financial

services industry and will serve as a resource for our client's financial

concerns and aspirations.

First Investors Corporation

Senior Financial Advisor


Warwick, Rhode Island

o Started a financial services practice from ground zero, built a client

database representing +400 clients. I actively managed this database,

which represented +$30 million dollars in assets under management. I met

with clients on an average rotation of every 9-12 months, to analyze their

financial goals and make appropriate recommendations to meet those goals.

I monitored their financial needs, their risk tolerance and the

progress of their investment programs. I provided the necessary analysis to

determine the appropriate asset allocation strategy for each client's


o Have provided leadership in the Regional Office as a Senior Advisor and

I played a critical role in the recruiting process for new advisors. I

also played an integral role in the mentoring/training process for new

advisors. I've successfully completed and have maintained my NASD licenses

- Series 6, 63 and 26 - this satisfies the qualifications for the position

of Office Manager / Office Principal.

Talbots Company Loss

Prevention Audit Director

1991-1993 Hingham, MA

o Created and then supervised the implementation of the Company Store

Audit Compliance Program. I evaluated all aspects of store operations and

warehouse operations by supervising a team of store auditors and performing

store audits. This included reviewing and approving all audit workpapers

and audit test results. I supervised the preparation of final reports for

review by the company's Senior Management Team.

o Maintained a perpetual Risk Analysis Program to evaluate and monitor

the operations controls of all stores, with special emphasis on "Risk" and

"Priority" stores. This program included daily, weekly, monthly and

quarterly audit tests. Audit Summary Reports with results and suitable

recommendations were prepared as frequently.

Richman Brothers/Anderson Little Company Director of Internal

Audit 1980-1991

Fall River, MA

o Evaluated and monitored all Store Management and District Management

control procedures and policies in an effort to prevent and detect losses

of Company resources. Played a critical role as a liaison between Store

Management, District Management and the Senior Management teams.

o Investigated and reported to Senior Management, the Corporate

Accounting Center and the National Operations Department,

all operational control problems, risk occurrence and defalcation




United States Air Force Academy Development

Engineering 1975-1978

Colorado Springs, Colorado

United States Air Force Nuclear Weapons

Specialist 1974-1980

Albuquerque, New Mexico

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