THOMAS L. JONES

***** ***** **** **., ***. C

Creve Coeur, MO 63141

Email: ac6agm@r.postjobfree.com

Cell: 704-***-****

Wells Fargo, St. Louis, MO (Wells Fargo, Wachovia & First Union 1998 – Sept. 2016) Securities Operations Service Specialist

Responsible for quality control review of transfer forms for payouts and scheduled distributions for customers which had previously been reviewed by our offshore group in India. Quality control review entailed making sure that all sections of the transfer form had been completed properly and were in good order to process for distribution.

Wachovia Securities, Wachovia Bank, Charlotte, NC Senior Investment Operations Specialist (previous work in this area as well under Retail Investment Group-RIG)

Responsible for Mutual Fund liquidations for IRAs, MPPs, and PSPs, also responsible for deleting Systematic Investments and withdrawals in these accounts.

Received a commendation in 2006 and 2007 from Lenn Eason, Managing Director of Client Services- Business Services Group, for zero errors over both years

RIG Team Member for the Month November 2001

Commendation in December 2000 for zero exceptions on monthly compliance reports, reduction of turnaround time for trades, improving customer service and risk to the department for possible losses, and for high productivity.

First Union Brokerage Services, Inc. (prior to being called Wachovia) Personal Investment Counselor

Managed $11 million in assets in 600 accounts

Finished 9th in Evergreen Mutual Fund Sales for first 6 months of 1999 in SC/Western NC region

#7 in FUBS for Evergreen Mutual Fund Sales November 1998 and 17th in 1998 for the SC/Western NC region

Received letter from Bill Ennis, Managing Director, for 1998 sales results in Evergreen Mutual Fund Sales 1987 – 1997 Investment experience with Merrill Lynch (Huntsville, AL and Atlanta, GA) Prudential Securities

(Birmingham, AL) and F.N. Wolf & Co. (Atlanta, GA) Merrill Lynch Achievements:

Named new account leader for 25 broker office three times during the first seven months in production

Top 20% of first year Financial Consultants in the central region in new accounts, assets under management and production credits

Received Early Success Award for gathering $2.2 million in invested assets during first seven months in production

Gathered 7 million in assets during 27 months in full-time production

Received Incentive Award from Merrill Lynch Asset Management for increasing client investments in mutual funds from $0 to $621K in 6 months (6/89 – 12/89) F.N. Wolf & Co.: top 20% for a 50 man office in new accounts

Hold active series 7 and 63 licenses

BBA degree Oglethorpe University, Atlanta, GA

Personable nature to function well in a diversified environment as a team player Career Goal:

Obtain an operational position that utilizes my background and knowledge in the investment industry.

Areas of interest include working with IRAs, mutual funds or municipal securities.