Manager Sales

Ted R. Townsend

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Summary

Accomplished financial professional and manager with 15 years

professional experience. Possess in-depth skills in sales, relationship

building, estate planning, retirement planning, financial products,

compliance management and auditing, and financial analysis. Proven leader

and manager; earning a solid reputation for building high performing

teams that drive business results. Highly proficient in financial

analysis with respect to financial statements, corporate finance,

investment taxation, and securities analysis. Strong analytical skills

and highly proficient with Microsoft Excel and Word

Skills

Leadership - Decorated Manager

. National champion receiving Excellence in Action Award for outstanding

execution. Turned a team of low performing performers in the rank of

160, into a top 20 team out of 180 teams.

. Administered "E-mail Response" pilot designed to diversify the role of

the representative which was institutionalized nationally across 2000+

representatives

. Chaired "Employee Engagement" committee which successfully developed

and administered functional recognition plans and engagement

activities. MVP plan recognized 40 - 50 representatives per month

. Recruited leadership pool to drive change within the Help-Desk to

prepare future organizational leaders. Vision was that future culture

was changing and needed leadership. Efforts resulted in 10 new

leaders from a pool of Representatives that were not in the leadership

hierarchy

Financial Advisor Consultant

. Consult with financial advisors to provide solutions to their client's

investment strategies

. Strong knowledge of taxation issues related to investments, estate

tax, and retirement planning

. Coordinated solutions regarding wealth transfer via trusts, charitable

remainder trusts, family partnerships and other transfer solutions

Workforce Management - Call Center Operations Manager

. Drove cultural change in High Net Worth, Private Access, and

Investments functions, to improve scale and efficiency. Increased

achievement of efficiency goals from 50% of representatives meeting

goals to over 85%

. Increased Fixed Income gate customer service levels from low teens to

high 70's through expansion of CD training to Full Traders

. Successfully led transition of Contingency National Master Console

from Boston to Salt Lake City. Result was increase redundancy in all

operations nation wide.

Trading Markets and Risk Management Specialist

. Managed trade approvals, trade dispute, customer correspondence, and

customer complaints for a function of 300 Registered Representatives

and 20 managers

. Successful trader receiving two errors over 7 years of trading

. Established international local market broker trading execution, which

saved customers $100's to $1,000's of dollars in foreign market maker

spreads, depending on the size of the trade

. Drove change in internet trading, pricing, and trading of

international equities, saving customers $100's in fees and reducing

call center expense. Leaving Representatives available to handle

complex trading situations

. Eliminated $50 transaction fee for DTC eligible stocks on Fidelity.com

. Led a team of 4 Trade Dispute Representatives whose role was to fix

trading errors "on the fly". The team never received a loss of $3000

during tenure. Expected loss on ave was $8,000.

Achievements

. "Wow" team of the quarter

. Director Award

. Xtreme Team of the Quarter

. Xtreme Performer, Manager

. Director Award

. President's Award, for national roll out of Fidelity's first

Portfolio Review Tool

. General Manager Award -- Awarded for "Hitting the ground running"

Professional Experience

Morgan Stanley Smith Barney - Salt Lake City, UT 2009 --

Present

Global Wealth Mgt; Gain & Loss Operations, Taxline Consultant - Contract

Provide investment tax, estate planning, general tax, small business

retirement planning, and individual retirement planning consulting

services with 18,000 MSSB Financial Advisors

Fidelity Investments - Salt Lake City, UT

1993 - 2009

Service and Trading Manager 2007 - 2009

Led, motivated, and coached a team of Registered Financial

Representatives to deliver an outstanding customer experience and execute

on the goals of the firm such as guidance lead generation, scale and

efficiency, and brokerage trading excellence

Call Volume Manager - Phone Operations 2005 - 2007

Planned and coordinated staffing requirements to call volume forecasts

across five call centers. Drove scale and efficiency goals through

education and communication to management and front line employees.

Identify opportunities to increase customer service levels through

creative call routing solutions, representative training, and shift

accountability

Help Desk/Trade Dispute Manager 2004 - 2005

Led, motivated, and coached a team of front-line supervisors that provide

knowledge support to representatives, handled customer complaints, and

resolved trade disputes or other problem related issues. Maintained

compliance records and conducted audits on files, trade logs, and

customer correspondence

. Created Customer-First atmosphere change within the Help Desk by

delegating leadership responsibility and accountability to

representatives

. Improved national team effectiveness by organizing the first-ever

national Help Desk Manager offsite

International Trading Manager 2002 - 2004

Led a team of representatives to support Fidelity Investments

international equity trading product

. Acquired Canadian quote application for rep desktop

. Led efforts to rewrite International Trading policy and procedure

. Activated Canadian equity trading on Fidelity.com

Initial Public Offering Team Manager 2000 - 2002

Managed specialized team of Financial Representatives to support

Fidelity's initial public offering service

. Consulted with National Risk and Compliance to solidify compliance

policy and representative requirements

. Monitored all transactions and trade logs. Coached representatives on

risk issues and managed feedback and rationale

. Coached representatives to cross-sell other opportunities when the

client was unable to participate in the IPO

Learning and Development Specialist 1997 - 2000

Deliver financial sales training to Registered Representatives, write

sales and trading curriculum, plan and coordinate national sales

initiatives

. Implemented national roll out of first Portfolio Review tool

. Developed sales training curriculum for Proactive Sales Function,

Premium Services, and Mutual Fund Sales Function

. Implemented national roll out of Symphony (CRM)

Registered Financial Representative 1993 - 1997

Account manager duties including the sales of investment products,

service customer accounts, and transact business on the national stock

exchanges

. Successfully sold mutual fund products and generated business

partner leads in a competitive sales environment.

. Backed up all areas of the business as a Flex-Force Representative.

Successfully cross trained in sales, brokerage trading, service,

and retirement products

. Successfully sold brokerage products and traded in world exchanges

for Fidelity's high net worth segment

Education

. MBA, David Eccles School of Business, University of Utah, 2005

. BA, Applied Economics, California State University, Bakersfield, 1993

. Wall Street Journal Student Achievement Award

. Magna Cum Laude

o Outstanding Graduating Senior Award

o Member, Omicron Delta Epsilon, International Honor Society for

Economics

o Financial Industry Regulatory Authority (FINRA) Licensing

o Series 63, 6, 7, 9, and 10

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