Sales Customer Service

Mark Filiberto

* ****** ****, **** *********, New York 11731

631-***-**** (home) 516-***-**** (cell phone) ********@*****.***

Investment professional that developed and created a “full service” discount brokerage firm from

concept to realization. Results oriented with proven expertise in strategy, policy and compliance, sales,

business development, and investments. Proven ability to develop, create and sustain a viable investment

firm during evolutionary economic conditions.

Experience

NEFCU 5/2012-Present

CUNA Brokerage Services LLC, Westbury, NY

Investment Representative

Responsible for accumulating and reviewing members financial data, investment goals, and risk

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profiles to recommend suitable fiscal planning strategies and investment ideas.

Develop effective solutions to customer needs by maintaining a strong product knowledge of

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banking and security products such as variable annuities, fixed annuities, mutual funds, managed

accounts, stocks, bonds, and life insurance.

Consistently meets sales quotas and maintains an excellent sales to call ratio.

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Partners with management to enhance the profile of the Investment Services Program within the

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Credit Union and formulates goals for branch staff.

Responsible for developing the 2013 marketing plan for the Investment Program, examples of

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which include lobby days, seminars (Retirement Planning, Women and Investing, Social Security

Planning, Life Insurance), branch marketing materials, email blasts, articles for Credit Union

Newsletter, and customer sales promotions.

Conduct branch trainings to educate staff on the products and services offered, awareness of sales

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opportunities and referral candidates, and the value of the services provided by the Credit Union.

First National Bank of Long Island

Investment Professionals Inc., Huntington, NY 11/2010 – 11/2011

Investment Representative

• Financial consultant responsible for the growth of non-deposit assets for retail banking.

• Partnered with branch management to ensure attainment of goals and to identify training needs

for sales and referrals.

• Established client relationships and advised clients on services best suited for their financial

needs.

• Sold consumer financial products, including insurance, investment products and equities.

• Partnered with licensed branch staff and business development officers for joint appointments.

• Collaborated with management of the Bank to ensure that the program directly reflected the

overall strategic plan.

• Evaluated investment goals and objectives and developed an investment plan and strategy to meet

client goals.

R&R Planning Group LTD, Lake Success, New York 6/1992 – 9/2011

Principal, Owner

• Developed Business Plan to establish firm and start broker dealer.

• Responsible for the strategic and operational direction of the firm.

• Developed and managed client relationships.

• Managed customer account equity in excess of $45 million.

• Advised clients regarding their financial requirements with products that included equities, fixed

income including municipal bonds, mutual funds, options, certificate of deposits, insurance

products, private placements, hedge funds, and investment advisory services.

• Continually expanded customer base through a variety of effective sales techniques.

Profiled the investment needs of clientele and developed individualized investment plans.

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Identified new sales opportunities through effective profiling and referral generation from

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existing clients.

Provided superior customer service evidenced by never receiving any customer complaints during

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the firm's 18 year history.

Processed and reviewed all transactions to ensure proper execution according to client

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instructions.

Orchestrated all corporate reorganizations and margin issues with customers.

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Processed all deposits and disbursements from customers.

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Developed and annually updated the Supervisory Procedure Manual, Continuing Education

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Program, Business Continuity Plan, Anti-Money Laundering Plan, and Self Audit Procedures.

As firms Chief Compliance Officer, responsible for all FINRA matters such as audits, annual

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membership renewals, focus reports, applications to change membership agreement, and all

compliance matters.

Successfully maintained a clean regulatory record throughout the firm’s history.

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Education

State University of New York at Cortland

Bachelor of Arts, Economics Minor - Political Science

Professional Licenses

Licenses - Series 3, 7, 63, 4, 24, 27, 52, 53, 66 and NYS Life and Health

Contact this candidate