Mark Thomas Garcia

CRD#*******

Cell: 916-***-**** Home: 530-***-**** abiofk@r.postjobfree.com

Education Bachelor of Science in Business Administration, CSU

California Maritime Academy

Experience

Regional Vice President, Guardian Investor Services, Northern California

Mar 2008- Jul 2009

. Recorded 45 million dollars of RS Funds sales to independent

advisors

. Delivered mutual fund presentations at national conferences and

broker dealer meetings

. Distributed twenty-two fixed income and equity funds focused on

multiple asset classes

. Achieved major successes at LPL, Commonwealth, FNIC and Raymond

James in N. Cal.

Regional Vice President, Principal Funds Distributor, New York

Sep 2005- June 2007

. Sold 135 million dollars of mutual funds to wirehouse and

independent advisors

. Gathered assets through large audience presentations and individual

meetings with financial advisors

. Focused sales efforts on Merrill Lynch, UBS, LPL, AIG, Morgan

Stanley and Commonwealth

. Successfully distributed 48 stock and fixed income funds including

various asset allocation models

Senior Internal Wholesaler, WM Funds/Principal Funds Distributor, PA, DE

& NY Feb 2003- Sep 2005

. Prospected and maintained successful sales territories including

PA, DE and NY

. Sold 240 million dollars of WM/Principal mutual funds with external

partner

. Maintained 100% individual performance level

. Extensively trained in Fusion and Sequoia

Financial Advisor, Edward Jones Investments, Northern California

Jan 2002- Jan 2003

. Focused efforts on individual investors with retirement assets

. Visited 3500+ homes and businesses to establish client

relationships

. Delivered daily sales presentations by appointment and telephone

. Sold municipal bonds, corporate bonds, CMO's, stocks, mutual funds

and annuities.

Operations Manager, Airborne Freight Corporation

2001

. Managed a freight station budget, 55 union employees and overall

service performance

. Supervised daily cargo loading and discharge of a 767 aircraft

. Provided a 95% delivery service level to customers

Second Officer, Deepwater Pathfinder, Transocean

Jan 1998-Dec 2000

. Supervised 250 million dollar oil drill ship navigation and station

keeping

. Planned worldwide vessel passages and port entrances

. Calculated stability and movement projections for semi submersible

oil drilling units

. Responsible for the safety of 160 U.S. employees

Marine Transportation Specialist, Command and Control Center, MSC, D.O.D.

Jan 1994- Dec 1997

. Produced and maintained extensive operational reports for 60 naval

vessels

. Presented weekly vessel status briefs to the program manager

. Created strategies that enabled fast deployment of cargo from

various ports

Licenses

. Active NASD Series 7, 63, CA life & variable contract licenses

. U.S. Merchant Marine Unlimited 2nd Officer

. U.S. Merchant Marine 1600 Ton Captain

Achievements

. Awarded a four year scholarship by the Department of Defense

. Dean's list 1993, 1994 and 1995

. Conversational Spanish speaking

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