MARC M. RICHARDSON

**** ****** **

Hastings, MI *9058

616-***-**** abm8nm@r.postjobfree.com

BUSINESS DEVELOPMENT LEADERSHIP / COMPLIANCE PROFESSIONAL

Driving Revenue Growth in Financial Services

PROFILE

• Highly experienced Financial Services Management Professional with a record of success

building and growing Financial Service organizations from the ground up. Uniquely qualified to

drive aggressive business development initiatives with expertise in Compliance, Operations,

Marketing and Sales. Licensed in Series 7, 24, 66, and 36

CAREER HIGHLIGHTS

• Established and grew the Bryn Mawr Financial from a start up to a highly profitable enterprise.

Growing to a SEC registered RIA in less than 7 years with assets under management of over four

hundred million dollars.

• Nearly doubled the amount of operating open territories and assets under management for USA

Wealth Management in less than a year as Vice President of Investment Services.

• Established and grew the Talon Financial Group from a start up to a highly profitable enterprise

with 7 employees and more than $1.5M in annual revenues in only five years.

EXPERIENCE

BRYN MAWR FINANCIAL, LLC, Grand Rapids, MI 2002-Present

Chief Compliance Officer

Guided the daily operations of a privately held SEC registered RIA addressing the needs of institutional

investors including hedge funds and retirement funds in the fixed income market. Ensured organizational

and registered representative compliance with all regulatory bodies including the Securities and

Exchange Commission.

Achievements:

• Helped grow this organization from a start up to a highly profitable enterprise by facilitating the

execution of all internal operations while working in close collaboration on a daily basis with the

firm’s Managing Director and its Vice President of Operations.

• Ensured clean audits by actively maintaining highly accurate books and Records

USA WEALTH MANAGEMENT, LLC, Grand Rapids, MI 2006-2008

An investment management firm with more than $150M of assets under management and 70 offices in

the US.

Vice President of Investment Services

Selected by management to guide the daily operations of this federally registered money manager.

Charged with growing the organization’s presence in 400 targeted markets by actively identifying,

recruiting and training its complete sales staff. Advise senior management on individual investment

selections and overall portfolio structuring of 11 different investment portfolios holistically meeting the

needs of a diverse group of high net worth individuals.

Achievements:

• Nearly doubled the amount of operating open territories and assets under management by

increasing the sales staff from 40 to 70 professionals to date; successfully opened new territories

in Texas, California, Ohio, the Carolinas and other Northeastern States.

TALON FINANCIAL GROUP, LLC, Mason, MI 2002-2006

Chief Operating Officer

Guided the daily operations of a privately held wholesale bond broker/dealer addressing the needs of

institutional investors including hedge funds and retirement funds in the bond market. Ensured

organizational and registered representative compliance with all regulatory bodies including NASD.

Achievements:

• Helped grow this organization from a start up to a highly profitable enterprise with 7 employees

and more than $1.5M in annual revenues by facilitating the execution of all internal operations

while working in close collaboration on a daily basis with the firm’s Chief Executive Officer and its

Chief Financial Officer.

• Ensured clean audits by actively maintaining highly accurate books and achieving Series 24

Registration

MORGAN STANLEY DEAN WITTER, Troy, MI 1999-2001

Financial Advisor

Drove the sale of debt and equity investments to a wide variety of private clients after successfully

earning Series 7, 66, 36 and life, accident, and health licenses.

Achievements:

• Garnered sales in excess of $7M through aggressive and persistent cold calling.

CONTINENTAL MORTGAGE, Sterling Heights, MI 1996-2001

Loan Officer

• Personally originated and closed an average of ten residential mortgages per month.

EDUCATION

Bachelor of Science, Biology, Alma College, Alma, MI

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