Sherry S. Auble, CRPC, CDFA, CFDP, REDS *** Coddington Rd, #1, Ithaca, NY 14850

ablwu3@r.postjobfree.com

607-***-****

Aspire to join a reputable financial organization as a Wealt h Advisor, providing over 16 years experience in financial

services and a passion for making a difference in client’s lives to increase profitability, sales volume, and the firm’s

visibility in the community.

CORE STRENGT

HS & SKILLS

Analytical Skills Consultative Skills Strong Communication Skills

Time Management Action Oriented Client Relationship Development

Strategic Marketing/Planning Proactive Problem Solving Technologically Proficient

Team Oriented Making Presentations Attention To Detail

WORK EXPERIENCE

Divorce Financial Strategy,

Divorce Financial Planner – Ithaca, NY

2/09–Present

• Provide expertise on the financial issues of divorce including the short and long term effects of dividing property, tax

laws affecting the divorce, determining cost basis and capital gains on the sale of property, evaluating insurance needs

post divorce, determining earnings capabilities, analyzing pension and retirement plans, and calculating the present

value of a pension. Produce comprehensive and realistic analysis of the client’s pre and post divorce financial situation

with regard to net worth, maintenance, child support, taxes, retirement plans, investments, and educational funding.

• Utilize divorce settlement software to illustrate the short and long term effects of potential divorce settlements, providing

clients and their attorneys with customized reports and charts needed to gain a financially equitable settlement. Act as

a financial neutral in collaborative meetings with clients and their attorneys, providing fair and balanced financial advice

and guidance to both parties.

• Conduct thorough client profiling, gather and analyze client documents to evaluate marital economic history, assist

clients with determining marital net worth and developing pre and post divorce budget.

Merrill Lynch Global Wealth Mgt, Financial Advisor, Assist. VP – Ithaca, NY 4/05–2/09

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Comprehensive Wealth Management – Provided planning solutions to high net worth individuals, their families and

business owners. Utilized a four step wealth management process consisting of discovery, investment plan delivery,

plan implementation, and performance reviews and encompassed “13 Wealth Management Issues” including wealth

enhancement, wealth transfer, wealth protection and philanthropic giving. Performed analytical analysis for

clients/prospect to introduce planning opportunities with regard to portfolio holdings/overlap analysis, retirement

accumulation and distribution planning, insurance/risk management, cash management, banking services, education

funding, long term care, tax minimization, trust/estate planning, credit/lending solutions, concentrated stock planning,

and charitable giving.

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Relationship Management – Focused on building relationships with: 1) Clients: Addressing their needs effectively by

fostering solid, trusted relationships, 2) Specialist: Utilized product and planning experts as needed to deliver high

quality client service, 3) Professional Advisors: coordinated and collaborated with client’s advisors to ensure

comprehensive planning and optimize effectiveness. Established tiered service standards matrix to facilitate optimal

“touches” with clients, prospects, and COI annually.

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Investment Consulting – Provided customized recommendations for appropriate advisory products and services.

Managed client’s investments over time to achieve financial goals and taking into account their time horizon and risk

tolerance and developed a plan that maximized their probability of achieving their stated goals. Utilized a strategic asset

allocation/diversification approach with tactical investment strategies, striving to outperform the market on a consistent

basis. Offered a product and service mix including discretionary and non discretionary institutional fee based managed

money, guaranteed annuities, ETFs, closed end funds, mutual funds, alternative investments, structured products,

stocks, preferreds, corporate bonds, banking services, CDs and money market funds.

• Excelled in fee based, asset management, revenue growth, and cross selling multiple products and services 2008:

+63.2% annuitized pc growth rate (1st quintile) vs. 51.1% peers, net new annuitized assets $1,650,889, 78% of AUM

annuitized (total AUM: $18,643,542), +3.3% asset & liabilities growth rate vs. +0.5% peers. Total Merrill Matrix:

Outperformed peers in 7 out of 8 categories: retirement, investment planning, beyond banking, business services,

credit/lending, tracking progress, and advice/

planning. 2007: +41.5% revenue growth rate vs. +29.7% peers (1 st quintile). Outperformed peers on 5 banking

services: banking accounts, funds transfer, on line enrollment, web bill pay, and e delivery.

Smith Barney, Financial Consultant, Financial Planning Specialist – Ithaca, NY 7/00–4/05

• Joined a partnership with two senior advisors with over $100 million in AUM and responsible for streamlining and

increasing production by segmenting clients, scheduling the team’s weekly calls, identifying inactive accounts and cross

selling services, developing and implementing a consistent message, instituted tracking sheets to assist in documenting

client conversations, developed new client welcoming procedures, tracking and reporting the team’s monthly and

quarterly progress toward annual goals, and developing the team’s business plan. Individual production prior to

departure: $176,849.

• Prepared financial plans for hnw individuals and business owners utilizing the firm’s proprietary analytical software

programs including retirement planning, asset allocation, net worth, distribution analysis, and education funding.

Implemented portfolios for clients consisting of private asset management, annuities, mutual funds, unit investment

trusts, stock, preferreds, corporate bonds, CD and money market funds.

• Conducted educational seminars on a variety of financial topics for clients and prospects to help promote financial

independence for women investors and participated in the firm’s Stock Portfolio Contest with Boynton Junior School.

Participated in bi annual divorce and separation workshops with a team of experts, providing advice and information on

pre and post divorce financial issues.

ING/Furman Selz Capital Mgt, Regional Dir., NYS & Western PA – New York, NY 2/9–7/00

Increased asset growth in New York region by 100% in 12 months by hosting client and prospect seminars,

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conducting branch office presentations and assisting financial consultants from Merrill Lynch, Smith Barney and Morgan

Stanley with closing sales and client retention. Developed and implemented value added presentations to increase

sales and client retention efforts.

Developed relationships with financial advisors from various firms to identify and obtain new business

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opportunities and provide client service/retention strategies. Provided on going education on investment portfolios to

including large, mid, and small cap, and fixed income portfolios.

Handled client/prospect phone calls, following through with inquiries regarding account performance, holdings and

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specialized requests.

Deutsche Bank, Marketing Associate/Fund Analyst – New York, NY 1/98–10/98

Maintained relationships with data vendors, external custodian, transfer agent, Merrill Lynch Research Group and

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Fund Administrators providing fund performance, portfolio statistics, and RFPs.

Conducted research on peer group funds, provided comparison to the Deutsche Funds.

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Updated fund prospectuses, SAIs broker fact cards, marketing information on industries and the economy and

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international company information to wholesalers.

Weiss, Peck & Greer, Senior Marketing Associate – New York, NY 2/97–12/97

• Utilized RFP Machine to create database of responses, developed responses by interviewing department heads,

portfolio managers, traders, research analysts, compliance managers, and human resources. Managed RFPs process

for large cap growth, quantitative equity, taxable and tax exempt fixed income, corporate cash, and alternative

investments. Trained two new associate positions and supervised work.

• Developed relationships with broker/dealers including Merrill Lynch, Smith Barney, Morgan Stanley, Prudential, Dean

Witter, PaineWebber and completed manager search profiles (15/qtr, 25/yr).

• Produced and updated marketing charts and graphs for Portfolio Managers and Sales Representatives for use in client

reviews and prospect meetings, ensuring quality and distribution of marketing data.

Neuberger & Berman, Marketing Analyst, Wrap Fee Group – New York, NY 4/94–2/97

• Performed day to day administrative and operational duties for Managing Director, Fixed Income Portfolio Manager, and

Manager of Client Reporting. Produced marketing and client service materials for Regional Sales Directors for use in

client and prospect meetings.

• Calculated dollar and time weighted rates of return for total account and individual product segments, calculated

unrealized and realized gains/losses, calculated annualized performance of funds and maintained composites,

measured, monitored and analyzed performance for fixed income, equity and balanced funds.

Prepared value oriented equity and fixed income RFPs for Inst’l and Wrap Fee prospects resulting in $40 mil in

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new business, prepared quarterly and annual consultant questionnaires for vendor databases, and c ompiled and

calculated data for over 4,000 accounts including monthly cash flows, market values, asset and account turnover,

holdings, sector weightings, portfolio characteristics, and buy/sell changes.

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PROFESSIONAL TRAINING & LICENSES

Certified Financial Planner, College of Financial Planning, Denver, CO In Progress

Certified Real Estate Divorce Specialist, Financial Divorce Association, Longmont, CO 2009

Certified Financial Divorce Practitioner, DePaul University, Palatine, IL 2009

Certified Divorce Financial Analyst, Institute for Divorce Financial Analysts, Southfield, MI 2008,

Chartered Retirement Planning Counselor College of Financial Planning, Denver, CO 2007

New York State Partnership for Long Term Care Insurance 2007

New York State Insurance – Life, Health, Variable Annuity, Variable Life 2001

NASD Series 7 – General Securities Representative 1995

NASD Series 63 – Uniform State Law Agent 1995

NASD Series 65 – Investment Advisor Representative 1995

NASD Series 66 – Uniform State Law Agent & Investment Advisor Representative 2005

Financial Planning Specialist, College of Financial Planning, Denver, CO 2004

Ithaca College, School of Business, BS in Marketing 1993

PROFESSIONAL MEMBERS

HIPS

Financial Planning Association Women TIES

Institute of Divorce Financial Analysts

Collaborative Family Lawyers of Central New York Nat’l Association of Professional Women

International Academy of Collaborative Practitioners Finger Lakes Women’s Bar Association

Association of Divorce Financial Planners Tompkins County Estate Planning Council

Academy of Financial Divorce Practitioners Tompkins County Chamber of Commerce

TECHNICAL SKILLS

Proficient in Microsoft Office 7, SalesForce, and various proprietary analytical planning software programs including

analysis of: asset allocation/diversification, portfolio reviews, liability management, stock option analysis, cash

management, net worth, education funding, and retirement accumulation and distribution.

AWARDS

Merrill Lynch Acquisition award in recognition of obtaining “Net New Households” goal, 2005

Merrill Lynch Top “Office of The Year”, achieving #1 branch office in the firm, 2005

MetLife Investors Premier Partners Club Platinum Member award honoring quality and excellence, 2008

“Essential Partner” Executive Education degree, Cornell University Jo hnson School of Management/Merrill Lynch joint

program featuring academic rigor of Cornell combined with practice management coaching from leading financial industry

speakers/practitioners. Curriculum: Investment, Acquisition & Service, 2008

VOLUNTEERING

Tompkins County “Women Swimmin For Hospicare” Spearheaded office corporate sponsorship, served on

planning committee, and organized the event’s silent auction.

Women’s Opportunity Center (WOC) and WOC’s Retail Sales Training Center (RTC) – Serviced on Board of Directors for

WOC and on RTC’s Planning Committee, assisting with grand opening of new facility.

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