E. Thomas Hartsell, CFP, AEP, CTFA, CISP

Home 704-***-****

*** ****** *****, **

Cell 704-***-****

Concord, NC 28025

Office 704-***-****

abl2vt@r.postjobfree.com

Fax 704-***-****

OBJECTIVE Seeking a management level position with a

premier financial services provider where

prior career experience in the

delivery of financial and estate planning services as well as

insurance through retail

banking, retail and institutional brokerage as well as personal and

corporate trust management

channels may be utilized. Prefer the ability to capitalize on past

career experiences in family

wealth management as a trusted advisor working closely with a

client's professional advisors

such as accountants, bankers, brokers, attorneys, insurance agents

and bookkeepers. Further

capitalize on work experience which emphasized holistic planning

through the use of income,

estate, gift and GST tax planning to facilitate the expansion of high

net worth business development;

improvements in the quality and quantity of sales as well

as increased productivity and

improved administrative compliance. Implemented properly, these

metrics lead to increased

revenue as well as career enhancement for all staff and team members.

EMPLOYMENT EXPERIENCE

August 2006 to Berthel Fisher & Company Financial

Services, Inc.

Present dba Hartsell & Associates, Inc.

Concord, North Carolina

Financial Advisor/Financial

Planner

Manage client account relationships

comprised of estates, revocable and irrevocable

inter vivos trusts, Powers of Attorney,

Traditional, Roth and SEP IRA's, 401(K) plans,

money purchase pension plans, private

foundations, charitable remainder trusts, limited

liability corporations, commercial as

well as residential real estate interests and separately

managed accounts.

Fully responsible at an entrepreneurial level for all new

business development efforts

in all areas of high net worth

asset management. Sales effort focused on contacting prior

working relationships as well as

networking the accounting, legal, medical and political

professionals within Metro

Charlotte for referred leads.

Practice holistic consultative based planning for

high net worth individuals and closely

held business owners. Assist in

preparation of all trust related fiduciary income tax returns,

federal estate and North

Carolina estate tax returns, as well as valuation of estate related

closely held family business interests, both C Corp and S

Corp.

Primarily addressing issues related to personal

financial management, inter-generational

estate planning as well as business succession planning.

July 2005 to Ameriprise Financial Services, Inc.

Charlotte, North Carolina

August 2006

Financial Advisor/Financial Planner

Manage client account relationships

comprised of revocable and irrevocable inter

vivos trusts, Traditional, Roth and SEP

IRA's, 401(K) plans, money purchase pension

plans, private foundations, separately

managed accounts and alternative investments.

Fully responsible for new business development efforts in

all areas of high net worth

asset management. Sales effort

focused on contacting prior working relationships as well

as networking the accounting,

legal, medical and political professionals within Metro

Charlotte for referred leads.

Practice holistic consultative based planning for

high net worth individuals and closely

held business owners. Primarily addressing issues

related to personal financial management,

inter-generational estate planning as well as business

succession planning.

December 2000 to Merrill Lynch Charlotte,

North Carolina

March 2005

Financial Advisor/Global Private Client Group

Manage client account relationships comprised of revocable and

irrevocable inter

vivos trusts, Trusteed IRA's,

corporate agencies, 401(K) plans, private foundations, SEP

IRA's, separately managed

accounts, residential and commercial mortgages, private

placements as well as

alternative investments.

Fully responsible for new business development efforts in

all areas of high net worth

asset management. Sales effort

focused on networking the accounting, legal, medical and

political professionals within

Metro Charlotte for referred leads.

Advise high net worth individuals and closely held

business owners on issues related

to their personal financial management, estate and

personal income tax matters as

well as wealth transfer and business succession planning.

Responsible for management

of administrative assistant\associate staff personnel.

October 1984 to Wachovia Bank, N.A. Charlotte, North

Carolina

October 2000

Vice President/Private Financial Advisors Division

Manage client account relationships comprised of estates,

revocable and irrevocable

inter vivos trusts, escrows,

agencies, family limited partnerships and charitable trusts.

Active in new business development efforts in all areas of

family wealth management.

Focus was on cross and up selling existing clients with

referred leads from retail and

corporate banking associates, satisfied existing clients as

well as outside professional

advisors such as accountants, attorneys, insurance agents

and professional vendors.

Provide broad based planning solutions to individuals and

their families in financial,

estate tax, gift tax, GST tax, personal income tax and

wealth transfer issues.

Responsible for management of administrative

assistant\associate staff personnel.

June 1980 to Branch Corporation (BB&T) Wilson,

North Carolina

September 1984

Trust Officer/ Personal Trust Administration Division

Managed client account relationships comprised of estates,

guardianships,

testamentary trusts, revocable

and irrevocable inter vivos trusts, charitable remainder

trusts, private foundations and

agencies. Responsible for management of trust owned

commercial and residential real

estate properties as well as farming interests.

Active in new business

development efforts in all personal, corporate and charitable

trust areas. Advise

individuals and their families in financial, estate tax, personal income

tax and wealth transfer issues.

Responsible for preparation of all trust related fiduciary

income tax returns, federal

estate and North Carolina

inheritance tax returns, as well as valuation of estate related

closely held family businesses,

both C Corp and S Corp.

Assisted in training secretarial and administrative

assistant/associate staff personnel.

Promoted to Regional Trust

Manager of the Goldsboro area in December 1982 with

responsibilities for entire

cost center operations and staffing.

EDUCATION

May 1980 University of North Carolina Greensboro, North

Carolina

B.S., Economics and Business Administration, Minor: Business

Communications

GPA: 3.2 (4.0 Scale)

June 1981 Campbell University Buies Creek, North Carolina

Certificate, Trust Management

Southeastern Trust School

CERTIFICATIONS

. Certified Financial Planner (CFP), Certified Financial

Planner Board of Standards, Inc.,

Washington, D.C., May

2003

. Certified Trust and Financial Advisor (CTFA), The Institute of

Certified Bankers,

Washington, D.C., May 1992

. Certified IRA Services Professional (CISP), The Institute

of Certified Bankers,

Washington, D.C., June 2000

. Licensed by the Financial Industry Regulatory Authority,

(FINRA), as holding both

Series 7 and Series 66 (combined Series 63 and Series

65) Securities Licenses, July 2001

. Certified Divorce Financial Analyst, (CDFA), Institute

for Divorce Financial Analysts,

Southfield, Michigan, Currently enrolled as a

candidate seeking this designation.

. Accredited Estate Planner (AEP), National Association of

Estate Planners & Councils

(NAEPC), Cleveland, Ohio, January 2006

. Licensed as an Agent by the North Carolina Department of

Insurance to sell Life, Accident,

Health, Medicare Supplement and Long-Term Care

Insurance

PROFESSIONAL MEMBERSHIPS

. Charlotte Estate Planning Council, Charlotte, North

Carolina, November

1988. Active member under the financial planner

category.

. American Bankers Association (ABA)

. National Association of Estate Planning Councils (NAEPC)

. Institute of Certified Bankers (ICB)

. Financial Planners Association (FPA)

. Financial Services Institute (FSI)

. Society of Financial Service Professionals (SFSP)

. Board Member of the Hispanic Learning Center, Concord,

NC

. Past Board Member of the Cabarrus County Chapter of the

American Red Cross

COMPUTER SKILLS

Microsoft Platform Microsoft Windows 98, 2000, NT & XP

Professional, Microsoft Office 2003

(Outlook, Word, Excel, PowerPoint, Access, Publisher, PhotoDraw,

Small

Business Tools), Microsoft

DOS, Microsoft Binder

Third Party Software ACT! 6.0, Adobe Acrobat 9.0, Adobe

PhotoDeluxe Business Edition 1.1, Symantec

WinFax, Symantec Mobile WinFax, Matrox Power Desk Multi-

Monitor Desktop

Systems, Linksys 2.4GHz (802.11b) Wireless Networking

Systems, PowerQuest

Partition Magic 8.0, Morningstar Principia Pro,

Morningstar Office Workstation,

MicroTouch Touch Screen Software, Bloomberg Desktop

Systems

REFERENCES AVAILABLE UPON REQUEST

Contact this candidate