Sales Management

EDWARD L. THOMAS

*** ********* ****, #*** • Oakland, California 94618

415-***-**** • *************@*****.***

FINANCIAL SERVICES EXECUTIVE

Series 7, 63, and 55

Highly accomplished, award winning executive with 15 years’ experience and proven success in client prospecting/acquisition, directing

business development, relationship management and process improvement initiatives. Skilled in leading and coaching high performance

teams to exceed organizational objectives. Background includes doubling revenue performance, creating new revenue streams, reducing

operating costs and vendor management. Expertise in managing algorithmic trading, equity/equity liked underwriting, and security equity

capital markets operations (Syndicate).

Strategic & Tactical Planning • Regulatory Compliance • New Business Development

Project Management • Cross Functional Leadership • Process Improvements

Team Building / Coaching / Mentoring • Training & Development • Staff Supervision

IPOs • Secondary Offerings • M&A • Team Leadership • Presentations • Cost Control

Contract Negotiation • Finance Management • Client Relations • Portfolio Management

Executive Sales Professional

WELLS FARGO SECURITIES, LLC, San Francisco, California 2001 2009

Provider of fixed income and equities sales / trading, market analysis and research, and investment banking and advisory services with

$100M in annual revenue.

VP, Capital Markets / Head of Corporate Rep. Sales Trading/Marketing/Operations (Promotion)

Sought out and retained after a major company reorganization and downsizing to manage, supervise and originate algorithmic (electronic)

equity corporate repurchase trading desk, capital markets desk, and broker dealer operations desks, growing revenue of new operations to

$7M in 3 years. Negotiated contracts (10b 18/10b5 1) and costs associated with supporting business initiatives of Fortune 1000 customers.

Directed algorithmic trading platform vendor relationships and capital markets underwriting, execution and back office activities.

Establishes and maintains relationships with senior officers (CEO, CFO, Investor Relations, President, CEO, Board of

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Directors). Identifying issuer needs accurately and quickly, resolves problems, and answers questions on trading performance,

competitive intelligence, corporate governance and marketplace regulations.

Responsible for providing public and private companies, in conjunction with corporate finance, advisory and execution services

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including public equity and debt underwritings, equity PIPEs, and merger and acquisition transactions for Technology,

Biotechnology, Consumer Branded, and Healthcare companies.

• Prepared and disseminated reports on business transactions and market information to key members of the Wells Fargo

Corporate Finance department to stimulate Investment banking business activity.

• Trained and developed three person trading / equity capital markets desk to achieve significant productivity

improvements while focusing on the risk management aspects of Wells Fargo & Co.

• Perform monthly Capital Markets accounting / reconciliation of Institutional/Retail account credits, SMA, and corporate accounts

processing various client transactions.

• Manage Client Investor Relations, vendor management, trade clearing, compliance/ regulatory requirements and business

continuity planning for Wells Fargo Securities equity underwriting/trading/operations effort and responsible for ensuring all

procedures are in compliance with NYSE/NASD regulations and Bank policies .

Key Achievements

Restored trust levels between senior management and employees by instilling a team based mind set; also held all parties to a

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sense of strict accountability while championing a work environment geared towards service beyond expectations.

Developed algorithmic trading desk generating 25% of company bottom line revenue by implementing, prospecting, soliciting,

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maintaining and supervising an electronic corporate repurchase trading desk/Equity Capital Markets advising/Investment Banking

marketing and Back office Operations unit.

Rebuilt and established strong relationships with some of Company’s key corporate clients (e.g., IBM, Oracle, Microsoft,

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Amazon.com, and Allstate) that had suffered from inconsistent service in the past.

Prospect, pitch, market and execute pre/post trade analysis, cross selling (IPO/SEC, Equity Linked, Corporate Repurchase, 10b

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18/5 1 trading plans, Rule 144, Block trading) and partnering with corporate clients and all product groups including accounting,

fixed income, algorithmic (electronic) trading, accounting, research, institutional/retail sales force, legal/compliance and corporate

finance, and general management, building and maintaining a solid pipeline of prospects, developing proposals, structuring deals

and managing complex relationships with minimum supervision.

• Dramatically slashed losses from $5 million to just $1,500 a year by switching from a proprietary trading operation to a risk

adverse agency trading model.

• Build and maintain (through inside sales) market share while generating new business opportunities for the corporate clients of

Wells Fargo & Company by prospecting/developing new client relationships and by maximizing revenue from existing client

relationships through the execution of corporate buybacks while enhancing the Wells Fargo cross selling effort.

• Achieved 150% year over year revenue growth by structuring risk free transactions to bring together simultaneous buy and sell

orders in the same security.

• Perform monthly Capital Markets accounting / reconciliation of Institutional/Retail account credits, SMA, and corporate accounts

processing various client transactions

• Originated and executed notable transactions to include Google IPO, VISA IPO, First Republic Bank Preferred IPO, IBM Share

Repurchase, Allstate Corporate Repurchase, IBM Corporate Repurchase,

Microsoft Share Repurchase, and Symantec Corporate Repurchase, CIGNA Corporate Repurchase.

• Closed 90% - 95% of all deals pitched to Corporate Clients of Wells Fargo & Co.

WELLS FARGO SECURITIES, Vice President, Capital Markets Specialist 2001 2009

Executed and distributed underwritten products for portfolio of more than 1MM retail and institutional clients with $240B in assets under

management. Supervised and coached team of three VP level direct reports. Partnering with all product groups and client facing business

units to include high yield, research, institutional / retail sales force, compliance, and investment banking. Supported underwriting process

of common stock, MLP / GP units, hybrid equities, periodic equity distributions, corporate repurchases, convertible note offerings, and

various Equity Capital Markets/Syndicate operational functions.

Key Achievements

Assist in the underwriting and creation of IPOs/Secondary offerings marketed to institutional and retail

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investors. Also responsible for Investor Relations on behalf of Wells Fargo Securities.

Slashed operational costs 25% by implementing of new order management system for retail and

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institutional sales for efficient distribution of underwritten products.

• Responsible for the registration/execution/marketing activities and also partnering with corporate clients and all product

groups including accounting, high yield, equity trading, research, institutional/retail sales force, legal/compliance, corporate

finance, and general management.

Leveraged reputation to enhance credibility of Wells Fargo among Wall Street peers and corporate clients

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Collaborated with sales teams to generate ideas for purchase / sales opportunities; called on prospective customers to

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stimulate and initiate Wells Fargo cross selling efforts

Educate and present to incoming investment banking recruiting class key concepts related to Capital Markets (i.e. stocks,

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bonds, mutual funds, and how the markets work is essential; knowledge of alternative investments, private equity, real estate,

derivatives, and risk management).

Awarded prestigious Golden Spoke Award (2005) for exemplifying excellence.

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HAMBRECHT & QUIST / JP MORGAN SECURITIES, San Francisco, California • 1994 2001

Investment bank founded in 1968 with focus on technology, healthcare, biotechnology, and consumer sectors. Acquired by Chase

Manhattan Bank in 1999; now part of JPMorgan Chase.

Vice President, Capital Markets

Progressed from Mailroom Intern to Vice President to execute and assist in distributing underwritten products for retail and institutional

clients. Directed retail selling efforts for capital markets division servicing 100+ financial client representatives with $2B+ in assets under

management.

Key Achievements

Supported underwriting process of 1000+ initial public and secondary offerings with primary focus on distribution of common stock to

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institutional / retail clients.

Recognized as internal expert on issues dealing with research, institutional / retail sales, corporate clients, equity trading, accounting,

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legal / compliance issues, and investment banking.

Awarded Service Star Award in recognition of being an exceptional employee (2000)

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EDUCATION

Economics, San Jose State University

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