JAMES SCHWANTNER

** ***** **** ******** ? Manorville, New York 11949 ? E-mail:

abi97h@r.postjobfree.com

Phone: 631-***-**** ? Cell: 516-***-****

. Profile

Highly-motivated, well-accomplished, and results-oriented Senior-level

Financial Sales Executive offering more than 15 years of success in

servicing high net worth individuals as well as small and mid market

companies. Proven ability to improve operations, impact business growth,

and maximize profits through achievements in finance management, cost

reductions, internal controls, and productivity/efficiency improvements.

Strong qualifications in general management, business planning, staff

development, and leadership. Enjoys the challenge of generating new

business opportunities through developing and expanding relationships with

key centers of influence. Customer focused and driven; strong reputation

for supporting clients needs.

. Career Work Path

North Shore Insurance & Financial Services

President June 2009-Present

. Founded North Shore Insurance & Financial Services to leverage current

banking relationships in a market that was in financial turmoil due to

the credit crisis

. Responsible for creating and building an insurance and financial

services company for small and mid-sized businesses.

. Developed and maintained relationships in excess of 1.7mm in premiums

within first twelve months

. Originated in excess of $75 million of Corporate Retirement Assets

. Built several joint ventures with national companies to solicit our

services

Morgan Stanley & Company ? New York, NY

Senior Financial Advisor / Vice President Aug 2006-June 2009

. Held responsible for the acquisition, retention, and service of high net

worth clients

. Developed and maintained business relationships by uncovering,

understanding, and acting upon financial indications to meet client needs

Highlights:

. Managed more than $125 million of assets

. Originated commercial and residential mortgages in excess of $75

million

. Originated and managed over $75 million of working capital, structured

finance, and leasing loans

. Handled all aspects of lending for NYC retail branch office, from

sales and marketing, to education and execution

. Member of President's Club in 2007 and 2008

Merrill Lynch & Company ? New York, NY

Senior Business Financial Advisor / Vice President May 1997-Aug 2006

. Provided high level relationship management to high net worth individuals

for both their personal and business financial needs; demonstrated

expertise in both asset management and liability management

. Functioned as a mentor to financial advisors in the Merrill Lynch

Training Program

. Member of the Business Financial Services Advisory Council to Management

in 2005 and 2006

Highlights:

. Recognized for consistently ranking in top 10% of business financial

services in 2004, 2005, and 2006

. Ensured compliance with financial needs of high net worth individuals

by creating, reviewing, and implementing strategic financial plans

. Partner of a three financial advisor team with over $350 million in

assets under management

. Earned the Chairman's Club Award in 2003, 2004, and 2005

. Successfully originated and managed in excess of $150 million of

lending opportunities for the firm

. Handled bank/cash deposits worth more than $125 million through short

term money instruments, such as CDs, 7-day corporate paper,

treasuries, among others

. Distinguished as Merrill Lynch Credit Corporation Mortgage Champion;

ranked at TOP 10% nationwide from 2001 to 2006

Registered Client Associate Inclusive Years

. Oversaw daily management of numerous retail clients in cultivating

existing accounts through product penetration

Highlights:

. Achieved a revenue increase of 70% through client cultivation,

extensive product knowledge, and high level of service in dealing with

financial advisors' production

. Developed an avenue for clients to expediently execute restricted

stock transactions - a key reason for the growth in revenue and

production

. Obtained annual reviews all indicating performance of "Far Exceeds" in

1997, 1998, and 1999

. Received Level I Masters Trip Award in 1998 and 1999

. Education

State University of New York (SUNY), Cobleskill, NY

. Relevant Coursework in Business Management & Finance

Investment Banking Institute, NEW YORK, NY

August 2010

Intensive 4-week financial modeling and valuation training program

. Investment Banking Seminar focused on (i) financial statement analysis,

(ii) valuation methodologies and (iii) financial modeling

. "Normalized" and "Spread" historical and projected financial statements,

including in depth analyses of operational and leverage ratios

. Performed company valuations utilizing (i) comparable public company

analysis, (ii) precedent transactions analysis and (iii) discounted cash

flow (DCF) analysis

. Built a fully integrated cash flow model, including 5-year projections,

debt and interest schedules, revolver modeling and sensitivity tables

. Modeled leveraged buy-out (LBO) and merger scenarios, with emphasis on

sources and uses, pro forma financial statements, purchase price

considerations, synergies, accretion/dilution and ratio analyses, among

other concepts

. General investment banking processes such as pitching, debt and equity

financing and sell-side M&A

. Career Development

. Chartered Retirement Planning Counselor, Currently enrolled

. Merrill Lynch

. POA Financial Advisor Training Program

. Certified Financial Manager

. Wealth Management Advisor

. Morgan Stanley Discretionary Account Manager

. Skills & Licenses

. NASD Series 7, Series 31, Series 63, and Series 65

. Life / Health Insurance

. P&C Insurance License

. Proficient in MS Office, including Excel & PowerPoint, Bloomberg

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