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Registered Financial Representative Sales & Supervision

Petaluma, California, United States
February 01, 2018

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Humberto Salinas (415) ***-****

Petaluma, CA 94954

FINRA Registered Representative since 1998, Institutional/Buy-side trading and Retail Private Wealth Management experience, helping families and individuals meet their retirement and legacy planning needs. Fluent in Spanish & Italian


Financial Representative Jan 2017 - Present

Thrivent Financial

Implement tailored financial solutions for trusts, estates, Churches and Non-Profit Organizations

Assist families with the administration and investment management of 529 College Saving Plans

Help business owners understand DOL & ERISA group retirement regulation and plan options

Ensure individuals lives, assets, business interest and retirement income

Compensation 100% Commission plus Asset Under Management Fee Financial Advisor/Insurance Agent Sep 2011 - Dec 2016 Vintage Capital Advisors

Acquired new assets by using a highly professional consultative sales approach

Mitigated investment risk and interest rate fluctuations through fixed income strategies

Built Institutional relationships with several broker dealers

Institutional assets of $12 million with $139K in T12

Compensation at 60% of assets under management, plus annual trailing 12b1 Financial Advisor May 2008 - May 2011

Morgan Stanley

Generated revenue through effective prospecting techniques

Brought in new assets to the firm by using a highly professional consultative sales approach

Implemented risk-management strategies to mitigate investment risk through asset allocation

Accessed Bond and Alternative investment inventory by use of Bloomberg terminals

Retail client assets of $9 million with $118K in T12

Compensation at 100% commission, plus annual trailing 12b1 Investment Counselor Dec 2005 - Dec 2007

Citi, San Francisco, CA (US)

Communicated current market condition and portfolio strategy to assigned clients

Acted as liaison between the investment policy committee (IPC) and prospective clients

Explain fee-based active management and the specific breakpoints afforded

Evaluated and discussed investment options with pre-qualified high-net-worth individuals

Compensation comprised of annual salary plus quarterly retention bonus Registered Sales Representative Sep 2003 - Aug 2004 Union Bank of California (UBOC), Investment Services, Inc Responsible for the revenue production from investments for two retail bank branches

Generated leads through phone calls and numerous marketing strategies, to prospective retail clients

Gained extensive experience in retail lending and commercial financing products

Shared revenue with another retail broker (60/40) split

Compensation based on salary plus quarterly production commission Registered Bank Officer Aug 2003 - Sep 2005

Humberto Manuel Salinas

Provided service and problem resolution to existing clients through in-person daily appointments

Responsible for the implementation of various marketing strategies to generate sales

Experienced in the use of insurance, mortgage-backed investments and structured proprietary funds

Compensation based on salary plus quarterly production commission Registered Sales Assistant Dec 1998 - Sep 2003

Stone & Youngberg, LLC

Assisted retail brokers with the management and support of all broker operation responsibilities

Coordinated sale transaction information between outside broker dealers and clearing agency

Worked closely with Public Finance and Institutional Departments, through new issue offerings

Gained extensive experience in private placements and Non-rated Municipal Bond underwriting

Compensation based on salary plus quarterly production commission Jan 1997 - Dec 2006

DBA: Home Theater Design Group, LLC

Developed sales and marketing techniques to improve the installation and follow-up sale process

Designed and installed media and entertainment systems for the home or office

Project management, job estimation and equipment sales

Compensation based on 60% of gross sales generated Skills & Specialization

Office, Marketing Strategies, Investment Management, Fixed Income, Marketing, Retail, Sales, Bloomberg, Investments, Phone, Profit, Spanish, Client, CA, Agency, Problem Resolution, Risk-management, Finance, Financial, Structured, Clients, Market, Fluent In Spanish, Project Management, Self-motivated, Insurance, Financing, Approach, Strategy, Inventory, Funds


College Of Marin Mar 1998 - May 2000

Del Valle University Feb 1987 - May 1992

Community College Aug 1985 - Jan 1987


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