Sales Financial Analyst
Resume:
Michael Ray Grossman
********@*****.***
**** *. *** ****** ***. Scottsdale, AZ 85250
OBJECTIVE:
Use outstanding knowledge in capital markets for research and analysis.
Share information with internal and external partners and clients
Emphasis on teamwork with strong communication skills
Strong interpersonal skills with emphasis on mentoring
EXPERIENCE:
CHARLES SCHWAB & CO., Phoenix, AZ September 1999 - June 2017
Senior Bond Advisor with National Bond Desk
Bond sales to sophisticated high net worth retail clients
Bond issues: Treasuries, Agencies, Corporate High Yield, Foreign, Municipal Bonds and Mortgage Backed Securities
Navigated the labyrinth of paths to find solutions to complex client issues through collaboration with internal and external parties
Provided internal training for new hires
Supervisory responsibilities with Series 9, 10
Presentations to internal partners of departmental benefits of fixed income
Proven record of monitoring risk with communicated solutions to the right areas
Loss mitigation to the firm and clients in the $ millions
Strong compliance and legal training
Provided Schwab legal counsel expertise on inflation protected securities
Uncovered risk in the area auction rate securities, margined Puerto Rican debt, the monoline insurance fiasco, money market failure, bank failure and counterparty risk in structured products.
Client survey feedback was tremendous-commentary included “Schwab should build its company around people like Mr. Grossman.”
VANGUARD GROUP, Scottsdale AZ February 1997 - August 1999
Equity Trading & Specialized Client Services
Responsibilities included facilitating buys and sells of equities and mutual funds
Equity research for clientele through Bloomberg and various vendors
UNITED PLANNERS, Scottsdale AZ July 1996 - February 1997
Variable Annuity Sales
Annuity sales
MORGAN STANLEY/DEAN WITTER, Phoenix, AZ November 1993 - October 1995
Registered Securities Representative
Commissioned stockbroker & registered representative
EDUCATION
MINNESOTA STATE UNIVERSITY, Moorhead MN
Bachelor of Science Degree in Finance, 1984
ASSOCIATION FOR INVESTMENT MANAGEMENT & RESEARCH, CFA Program
Chartered Financial Analyst program level II candidate, 1997
ACHIEVEMENTS
NASD Series 7, 9, 10, and 63 and licensed in every state
AIMR Level I CFA exam completion
CFP education program completion
Former AAMS certified (Accredited Asset Management Specialist)
Former insurance license and real estate licenses
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