Customer Service Representative

Bryan J. Raithel CFP

**** ******** ******* *****, *********, NC 28031

Home 704-***-**** / Mobile 704-***-****

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

Summary of Qualifications

A financial services professional with over 13 years of experience in

personal financial planning and investment. A strong team leader that is

results oriented with excellent management capabilities, extensive

knowledge of diverse investment products and techniques, compliance

expertise, and a proven track record in sales and service.

Employment

Raithel Investments Inc. (2007- Present)

CTA Trader/ Accounting / Compliance for family owned business currently

closing due to continued market volatility and trading environment for

option sellers

. Trading option futures program & continuously monitoring trading

system

o Compiling total number of trades necessary and their

allocations

o Tracking intra day performance

. Complete daily accounting, monthly statements, & annual reports

. Created and maintained Raithel Investment's compliance needs

including creation of a compliance manual, disclosure documents,

NFA audits, marketing materials, "give-up" agreements, built

company's website, etc

. Acquiring new clients and working directly with Introducing Brokers

. Fulfilling all client service needs for direct clients and

Introducing Brokers

. Updating Disclosure Documents

. Maintaining and monitoring all compliance issues and needs.

. Monitoring trading risk

The Vanguard Group (1997-2007)

Supervisor - Personal Financial Planning & other Departments

. Managed teams of CFP representatives to professionally develop,

provide feedback, year-end reviews, compensation, complex client

issues, exception approvals, & handle HR issues. Also, was a part

of the hiring team and did extensive interviewing and recruiting.

Personal Investment Representative - Flagship Representative (highest net

worth clients)

. Assigned 450 clients with $1 million+ in assets with Vanguard to

provide Investment guidance, information, and Customer Service.

Investment Representative - Voyager & Core Client Services

. Provided investment guidance and client service to high net worth

clients.

Education & Professional Licenses & Designations

MPA (Masters of Public Administration (accredited) 1996

East Carolina University

BS (Political Science) 1994

East Carolina University

Certified Financial Planner 2006 Active

CFP Board ID#108505

Six Sigma/DMAIC Trained

FINRA (Formerly NASD)

Series 3 (National Commodity Futures Exam) CRD#0277452 Active

Series 7 (General Securities Representative) CRD#2854296 can reacquire

expeditiously

Series 63 (Uniform Securities Agent State Law Exam) CRD#2854296 can

reacquire expeditiously

Series 6 (Investment Company, Products / Variable Contracts

Representative) CRD#2854296 can reacquire expeditiously

Perfect U-4 available upon request.

Contact this candidate