Service Manager

DAVID M. NAVARRO

**** ***** ****** #***, *******, NJ 07030 ? Home: 973-***-**** ?

*************@*****.***

QUALIFICATIONS PROFILE

Experienced financial advisory sales professional with an extensive

background in managing client relationships. Skilled in identifying

financial solutions for clients using an array of financial instruments

and planning tools.

PROFESSIONAL EXPERIENCE

MERRILL LYNCH, New York, NY

1997 to Present

Investment Associate (2001 to Present)

Serve as the primary investment and planning associate for a large

private wealth management advisory team.

. Develop and penetrate new and existing high net worth relationships.

. Consult with prospective clients to identify objectives, effect

appropriate solutions, and conduct an ongoing review of results and

performance.

. Analyze and market a suite of complex investment and planning products

such as pre-paid forwards, structured products (including index,

commodity and fixed income based instruments), interest rate

derivatives, as well as mutual funds, ETF's, and plain vanilla

options.

. Manage clients' exposure to alternative investment platforms including

hedge funds, managed futures and private equity.

. Develop and manage several discretionarily managed sector-based equity

portfolios as well as municipal bond (national and state-specific) and

investment-grade taxable fixed income portfolios.

. Supervise 3rd party separately managed account roster and conduct

regular due diligence on money managers.

. Formulate tactical investment opportunities using ML/BofA, S&P,

Morningstar and other research providers concurrent with client

suitability requirements.

. Assist in the formulation of the team's annual business development

goals.

. Conduct fixed income training classes for broker trainees with a focus

on basic fixed income mechanics, bond selection and order entry

procedures.

Registered Client Associate (1999 to 2001)

Manage all areas of administrative support for three high net worth

private wealth management advisory teams.

. Act as service and operations manager responsible for conducting new

relationship on-boarding procedures and performing all bookkeeping

functions (including margin maintenance, movement of securities and

funds, as well as other credit and risk controls).

. Liaise with all internal departments of the firm to provide direct ad

hoc support for the client base.

. Prepare marketing presentations, proposals and periodic reviews in

advance of prospect and client meetings.

. Identify and market banking service opportunities including mortgages,

credit cards, retirement accounts and deposit products.

Client Service Representative (1997 to 1999)

Respond directly to client inquiries regarding banking and securities

activities in central asset, retirement and business

accounts.

. Perform in-depth research off-line on more complex client requests,

communicating with other areas of the firm to complete overdraft,

banking service, and fee service resolution.

. Managed Deaf/Hard-of-Hearing (TTY) line service requests.

EDUCATION AND LICENSES

New York University, Leonard N. Stern School of Business

Master of Business Administration, Quantitative Finance, Finance (May

2006) 3.44 GPA

Rutgers University, Rutgers College

Bachelor of Arts, Political Science, Philosophy (1997)

Chartered Financial Analyst Program (CFA)

Completed Levels I and II, Current Level III Candidate (June 2011 Exam)

NASD Series 7, 31, 63 & 65 ? New York State Life and Health Insurance

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