Daniel Baldwin

Email: abovac@r.postjobfree.com

Address: **** ******* *****

City: Green Bay

State: WI

Zip: 54301

Country: USA

Phone: 920-***-****

Skill Level: Experienced

Salary Range: 40

Primary Skills/Experience:

See Resume

Educational Background:

See Resume

Job History / Details:

DANIEL J. BALDWIN

3207 Nicolet Drive Green Bay, WI 54311

920-***-**** abovac@r.postjobfree.com

SUMMARY

Experienced Financial Services Executive with extensive expertise in the Financial Services industry. Knowledgeable with insurance products, bank channel investment sales and compliance as well as comprehensive financial planning in the independent financial advisor channel. Possess skills which are most suited to compliance oriented positions within the industry, consisting of strong attention to detail in conjunction with a clear understanding of FINRA/SEC and state securities regulations. Extremely well versed in financial solutions such as separately managed accounts, equities, mutual funds, fixed income instruments, annuities, life insurance and securities compliance regulations. Experienced in several financial planning software programs.

QUALIFICATIONS

NASD Series 6, 7, 63, 65 and 24 Licenses. Life & Health and Property & Casualty Insurance Licenses in the state of Florida, Michigan and Wisconsin.

EDUCATION

1981-1985 BBA - Finance, University of Wisconsin - Oshkosh

EMPLOYMENT

2011 - 08/2012 Financial Consultant/Registered Representative

INVESTMENT CENTER AT CITIZENS BANK/LPL Financial

Green Bay, Wisconsin

Bank investment department sales professional and Mentor to a Junior Representative. Provided investment services to existing clientele and developed new business relationships for the Northeast WI Region.

2008-2011 Financial Advisor/Partner

WAYPOINT FINANCIAL SOLUTIONS, INC/Woodbury Financial Services

Green Bay, Wisconsin

Independent Registered Rep/Investment Advisor. Provided clientele with comprehensive financial planning. Specialized in Baby Boomer retirement solutions including wealth accumulation and retirement income distribution planning. Created a custom systemization for a financial services business to allow for personalized yet efficient, consistent and top quality investment advisory services. Provided retirement plans to small business owners.

1996 -2008 Financial Advisor/Registered Principal/Investment Officer,

BAYLAKE BANK/BAYLAKE INVESTMENTS - UVEST/LPL Financial

Green Bay, Wisconsin

Bank investment department OSJ and investment sales professional. Covered nine branches for Baylake Bank throughout the Green Bay region. Held Office of Supervisory Jurisdiction (OSJ) position at the branch level to facilitate compliance reviews as well as an increased payout to the Bank by the Broker Dealer. Responsible for oversight of sales practice reviews, client suitability matters and supervisory issues for eight to nine registered reps at a time.

1990-1996 Registered Representative, PRINCIPAL FINANCIAL GROUP

Green Bay, Wisconsin

Investment sales professional responsible for sales of small business group health insurance plans and retirement plans.

1988-1990 Life Insurance Agent, NEW YORK LIFE INSURANCE COMPANY

Green Bay, Wisconsin

Life Insurance sales professional responsible for sale of life insurance and financial services to individuals.

DANIEL J. BALDWIN

920-***-**** abovac@r.postjobfree.com

AFFILIATIONS

Downtown Green Bay Inc. - Business Development Committee - Member

YMCA - Partners with Youth Program - Active Fundraiser

Inland Lakes Yachting Association/ILYA - Member

Oshkosh Yacht Club/Oshkosh, WI - Member

Windjammers Sailing Club/Green Bay, WI - Member

Baylake Bank Tall Ship Festival - Volunteer Coordinator 2003, 2004, 2006

REFERENCES

AVAILABLE UPON REQUEST

Contact this candidate